BROKER-DEALER -
FINRA Publishes 2021 Industry Spotlight -
On May 25, the Financial Industry Regulatory Authority (FINRA) published the 2021 FINRA Industry Spotlight (Industry Spotlight), which is FINRA’s annual...more
BROKER-DEALER -
Gary Gensler Names Initial Senior Staff Members -
On April 19, the Securities and Exchange Commission announced the appointments of SEC Chair Gary Gensler’s senior staff, who will be responsible for...more
INVESTMENT COMPANIES AND INVESTMENT ADVISERS -
SEC Releases Updates to Custody Rule Frequently Asked Questions -
On June 5, the Securities and Exchange Commission’s Division of Investment Management staff (Staff)...more
6/18/2018
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EMIR ,
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Form PF ,
Initial Coin Offering (ICOs) ,
Investment Adviser ,
MiFID II ,
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Money Market Funds ,
UK