USA - March 10 2017
On March 8, the Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission to adopt amendments…
Laura N. Krcmaric
USA - March 10 2017
The Securities and Exchange Commission recently proposed amendments to Rule 15c2-12 under the Securities Exchange Act of 1934. Rule 15c2-12 prohibits…
Laura N. Krcmaric
USA - February 17 2017
The Financial Industry Regulatory Authority (FINRA) has filed proposed rules with the Securities and Exchange Commission to adopt FINRA Rule 6800…
Sarah R. Adams
USA - February 17 2017
The Securities and Exchange Commission has approved amendments to Financial Industry Regulatory Authority (FINRA) Rule 2232 (Customer Confirmations)…
Sarah R. Adams
USA - February 17 2017
The Financial Industry Regulatory Authority (FINRA) is seeking comment with respect to proposed amendments (the "Proposed Amendments") to FINRA Rule…
Sarah R. Adams