4/20/2017
For some industry heavy hitters, the 60-day delay of the DOL’s fiduciary duty rule implementation is simply not enough (IA Watch, April 5, 2017). The ...
4/20/2017
What does FINRA say about accepting sponsor payments for firm conferences? Are payments subject to dollar limits? Is there a disclosure requirement? I...
4/20/2017
FINRA has simultaneously released three regulatory notices related to broker-dealers’ participation in the capital formation process. The SRO is seeki...
© 2017 SIMPLIFY COMPLIANCE. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US