On April 7, 2020, the Securities and Exchange Commission’s (the “SEC” or the “Staff”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert1 to provide broker-dealers and their associated persons...more
5/8/2020
/ Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Coronavirus/COVID-19 ,
Disclosure ,
Document Requests ,
Financial Industry Regulatory Authority (FINRA) ,
OCIE ,
Regulation Best Interest ,
Risk Alert ,
Securities and Exchange Commission (SEC)
On April 7, 2020, the Securities and Exchange Commission’s (the “SEC” or the “Staff”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert to provide SEC-registered broker-dealers and investment...more