REGULATORY UPDATES -
FINRA Issues Regulation Best Interest Checklist for Brokers -
On October 8, 2019, the Financial Industry Regulatory Authority (“FINRA”) announced it will provide new resources to assist member firms...more
1/17/2020
/ Business Development Companies ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Institutional Shareholder Services (ISS) ,
Investment Adviser ,
Investment Company Act of 1940 ,
OCIE ,
Proposed Amendments ,
Regulation Best Interest ,
Securities and Exchange Commission (SEC) ,
Shareholders