The Securities Act of 1933 Archives - Master Compliance

1 02, 2021

SEC Rule to Allow for the Use Electronic Signatures
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SEC Rule to Allow for the Use Electronic Signatures
Broker-Dealer, Cybersecurity, EDGAR, Filing Requirements, FINRA, Registered Investment Advisers, Rules and Regulations, SEC

SEC Rule to Allow for the Use Electronic Signatures

By admin|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 [...]

21 06, 2016

Due Diligence and Registered Representatives

By admin|2016-06-21T09:44:17-04:00June 21, 2016|Broker-Dealer, Due Diligence|

The topic of due diligence is widely discussed regarding the [...]