1 02, 2021

SEC Rule to Allow for the Use Electronic Signatures

By |2021-02-01T09:28:46-05:00February 1, 2021|Broker-Dealer, Cybersecurity, EDGAR, Filing Requirements, FINRA, Registered Investment Advisers, Rules and Regulations, SEC|

The SEC recently adopted a rule change to allow for [...]

20 01, 2021

FINRA’s Proposed Change to Rules 5122 and 5123

By |2021-01-20T13:52:43-05:00January 20, 2021|Broker-Dealer, Communication, Communications, Filing Requirements, FINRA, Private Placements, Retail Communications, Rules and Regulations, SEC, Social Media, Supervision|

On October 28, 2020, FINRA filed a proposed rule change [...]

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