Securities Exchange Act of 1934 Archives - Master Compliance

10 09, 2021

Personal Trade Reviews
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Personal Trade Reviews
Broker-Dealer, Examinations, Fines, FINRA, Registered Investment Advisers, Rules and Regulations

Personal Trade Reviews

By admin|2021-09-10T15:30:04-04:00September 10, 2021|Broker-Dealer, Examinations, Fines, FINRA, Registered Investment Advisers, Rules and Regulations|

Citigroup Global Markets Inc. was recently censured and fined $350,000.00 [...]

30 06, 2021

Regulators Focus on Reg BI During 2021 Audits
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Regulators Focus on Reg BI During 2021 Audits
Broker-Dealer, Regulation Best Interest, Suitability

Regulators Focus on Reg BI During 2021 Audits

By admin|2021-06-30T16:41:55-04:00June 30, 2021|Broker-Dealer, Regulation Best Interest, Suitability|

The Securities and Exchange Commission adopted a new rule under [...]

21 06, 2021

Schedule 13(d) and 13(g)
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Schedule 13(d) and 13(g)
Registered Investment Advisers, Rules and Regulations, Rules and Regulations, SEC

Schedule 13(d) and 13(g)

By admin|2021-06-21T10:25:49-04:00June 21, 2021|Registered Investment Advisers, Rules and Regulations, Rules and Regulations, SEC|

Sections 13(d) and 13(g) of the Securities Exchange Act of [...]

2 02, 2021

SEC Rule to Simplify Exempt Offering Framework for Small Firms
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SEC Rule to Simplify Exempt Offering Framework for Small Firms
Broker-Dealer, Crowdfunding, Filing Requirements, FINRA, Private Placements, Regulation CF, Rules and Regulations, Rules and Regulations, SEC

SEC Rule to Simplify Exempt Offering Framework for Small Firms

By admin|2021-02-02T10:22:16-05:00February 2, 2021|Broker-Dealer, Crowdfunding, Filing Requirements, FINRA, Private Placements, Regulation CF, Rules and Regulations, Rules and Regulations, SEC|

On Nov. 2, 2020, the U.S. Securities and Exchange Commission [...]