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These revisions should ease compliance burdens and clarify the application of our rules for smaller reporting companies and issuers relying on Regulation A by focusing ...
FINRA and the other SROs are now on the clock to publish their plans for the looming consolidated audit trail requirements after a divided Commission ...
FINRA is uniquely qualified to provide the Commission with a familiar and consolidated platform for standalone SBSEs and bank SBSEs to file the FOCUS Report
The proposed amendments also will help to ensure that the Participants fulfill their obligations to deliver a functional CAT on a reasonably achievable timeframe
Action relates to collateral and asset-back securities
Defendants also violated their fiduciary duty by failing adequately to disclose to their clients the conflict of interest inherent in these transactions
How to direct your 13F questions to the SEC
Clients, however, did not have this information available to them because execution costs from trading away were not visible to clients on their account documents ...
BDC can acquire an investment adviser
More on recommendations and also on making disclosures in Spanish
