Taylor Bandy

Taylor Bandy

Bressler, Amery & Ross, P.C.

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FINRA Proposes Changes to Modernize its Supervisory Rule as Member Firms Embrace Hybrid Work Environments

On July 15, 2022, FINRA filed with the Securities and Exchange Commission a proposed addition to Rule 3110 (Supervision) to include new Supplementary Material 3110.19 (Residential Supervisory Location). The SEC’s notice...more

8/19/2022  /  Financial Industry Regulatory Authority (FINRA) , Financial Institutions , Financial Services Industry , Securities and Exchange Commission (SEC)

The SEC Adopts a Modernized Marketing Rule and the Testimonial Prohibition is No Longer

On December 22, 2020, the Securities and Exchange Commission (SEC) released an amended, “modernized” Rule 206(4)-1 of the Investment Adviser’s Act of 1940 (the “Marketing Rule”) citing advancements in technology, changes in...more

12/31/2020  /  Financial Regulatory Reform , Investment Adviser , Investment Advisers Act of 1940 , Marketing , Securities and Exchange Commission (SEC) , Securities Regulation , Testimonial Statements
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