SEC Proposes Amendments for Institutional Investment Managers
July 10, 2020
The Securities and Exchange Commission today announced that it has proposed to amend Form 13F to…
FINRA Rule 2080: Expungement Changes Coming this…
June 30, 2020
The rules around expungement for financial services professionals are changing this month. While this might sound…
Finra Seeks Higher Expungement Fees by Closing…
June 19, 2020
The Financial Industry Regulatory Authority wants to eliminate a loophole that slashes the fees firms and…
Notice of Filing of a Proposed Rule…
June 19, 2020
Notice of Filing of a Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure…