In a move to align the regulatory requirements with current technology, the Financial Industry Regulatory Authority (FINRA) recently filed a proposed rule change with the SEC regarding the utilization of … Continue reading Use of Electronic Signatures Proposed in FINRA Rule Amendment
The Securities and Exchange Commission (“SEC”) has approved a proposed amendment to Rule 15c6-1(a) of the Exchange Act of 1934 to shorten the standard settlement cycle for most broker-dealer securities … Continue reading SEC Proposes Rule Amendment to Shorten Settlement Cycle to T+2
The Municipal Securities Rulemaking Board (MSRB) has filed a Notice of Rule Change with the Securities and Exchange Commission (SEC) to apply the limitations on business-related gift-giving that currently applies to … Continue reading MSRB Seeks Approval to Amend Gifts Rule