The Financial Industry Regulatory Authority (FINRA) has proposed a new rule, FINRA Rule 3290 – Outside Business Requirements (Proposed Rule), to simplify and reduce unnecessary regulatory burdens related to the … Continue reading FINRA Proposes Rule 3290 to Streamline Oversight of OBAs and PSTs
As noted previously, the Securities and Exchange Commission (“SEC”) announced that it is releasing proposed amendments to the advertising and cash solicitation rules that currently provide for the regulatory framework … Continue reading Revisions to Cash Solicitation Rule Proposed for Investment Advisers (Part 3 of 3)
The Financial Industry and Regulatory Authority (“FINRA”) has filed a proposed rule change with the Securities and Exchange Commission (“SEC”) and is soliciting comments to amend the Capital Acquisition Broker … Continue reading CAB Rule Amendments Proposed by FINRA to Address Qualification Requirements
The Securities and Exchange Commission (SEC) has proposed for public comment several amendments to the SEC’s rules implementing its whistleblower program. The whistleblower provisions of the Securities Exchange Act of … Continue reading SEC Proposes Amendments to Whistleblower Rule
The Municipal Securities Rulemaking Board (MSRB) is requesting comment on a proposal to modify the application of the standard of independence for the one public member of its Board of Directors … Continue reading MSRB Requests Comments on Alternative Standard of Independence for Investor Representative on its Board