FINRA’s guidance sheds further light on the new rule, which will permit firms to elect “non-branch” designation for a private residence where an associated person conducts specified supervisory activities....more
5/8/2024
/ Coronavirus/COVID-19 ,
Exemptions ,
Filing Deadlines ,
Financial Industry Regulatory Authority (FINRA) ,
New Guidance ,
New Rules ,
Primary Residence ,
Principal Place of Business ,
Relief Measures ,
Remote Working ,
Reporting Requirements ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Supervision
The SEC’s ambiguous rule could have a chilling effect both on decentralized finance and on the provision of liquidity to centralized crypto exchanges.
The Securities and Exchange Commission (SEC) adopted a new rule on...more
2/28/2024
/ Crypto Exchanges ,
Dealers ,
Decentralized Finance (DeFi) ,
Digital Assets ,
Financial Industry Regulatory Authority (FINRA) ,
Liquidity ,
Market Participants ,
New Rules ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Securities Dealers ,
Securities Exchange Act
SEC defines the phrase “as part of a regular business” to capture private funds and other market participants that take on liquidity-providing roles.
The Securities and Exchange Commission (SEC) adopted new rules that...more
2/26/2024
/ Dealers ,
Financial Industry Regulatory Authority (FINRA) ,
Government Securities ,
Liquidity ,
Market Participants ,
New Rules ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Securities Dealers ,
Securities Exchange Act ,
Securities Traders ,
SRO
The new rule establishes criteria for firms to elect “non-branch” designation for a private residence where an associated person engages in specified supervisory activities....more
The proposed amendment seeks to modify the existing framework of FINRA Rule 2210 to accommodate the use of certain projections and targeted returns.
On November 13, 2023, the Financial Industry Regulatory Authority...more
Guidance clarifies assessment of liability under Rule 3110, including designation as supervisor, application of reasonableness standard, and factors for and against charging compliance officials.
On March 17, 2022, the...more