Carl Ayers
President Biden replaced that EO with one of his own, which upped the list of foreign firms to 59 and set a deadline for U.S. ...
The DOL will begin enforcing the exemption Dec. 20th and having such documentation goes a long way to prove you’re in compliance
Here is the list of 59 publicly traded Chinese securities cited in Biden’s June EO. The EO’s deadline is Aug. 2
On February 18, 2021, EXAMS again contacted SFA but this time to announce an examination relating to the firm’s failure to file Form CRS. SFA ...
"I have asked SEC staff to develop a mandatory climate risk disclosure rule proposal for the Commission’s consideration by the end of the year"
Tradier failed to comply with the Requirements by its regulatory deadlines, and began complying only after FINRA contacted the firm regarding the failure to file ...
Trade App finally filed Form CRS with the Commission on May 20, 2021, and the firm did not deliver Form CRS to its existing retail ...
Greentree failed to comply with the Requirements by its regulatory deadlines, and began complying only after FINRA contacted the firm regarding the failure to file ...
FINRA contacted Capital Portfolio Management on September 18, 2020 to alert the firm that it had failed to file Form CRS. Capital Portfolio Management, however, ...
FINRA contacted Birkelbach on September 17, 2020 to alert the firm that it had failed to file Form CRS. Birkelbach, however, still did not file ...