USA - March 2 2022
A broker-dealer settled FINRA charges for best execution and supervisory violations, and for failing to disclose material aspects of its…
USA - March 1 2022
The MSRB voted to amend MSRB Rule G-27 ("Supervision"), to allow dealer firms to conduct office inspections remotely. The extension runs until…
USA - February 25 2022
The SEC proposed new rules and amendments to comply with Congress’s mandate to provide greater short sale transparency to investors. The proposed…
USA - February 18 2022
In a speech before the U.S. Monetary Policy Forum, Federal Reserve Board ("FRB") Governor Lael Brainard highlighted the increasing digitalization and…
Sebastian Souchet
USA - February 17 2022
Comments on an SEC proposal to amend Form PF are due by March 21, 2022. The Form is used for reporting by certain SEC-registered investment advisers…
