News & Analysis as of

Securities and Exchange Commission (SEC) › (SEC) Rule 17a-4 › Financial Industry Regulatory Authority (FINRA)

Mayer Brown Free Writings + Perspectives

SEC Grants No-Action Relief from Rule 17a-4 for Reliance on Central Registration Depository System to Maintain Electronically...

Mayer Brown Free Writings + Perspectives on

On September 5, 2025, the Staff of the Division of Trading and Markets of the U.S. Securities and Exchange Commission (“SEC”) granted no-action relief that allows members of the Financial Industry Regulatory Authority, Inc....more

Hanzo

Regulatory Compliance on the Web: What Your Website Needs

Hanzo on

Your website is an important part of your business. Chances are, you’re investing both time and money to ensure that it attracts customers and satisfies their needs so that they decide to do business with you. Now that the...more

Hanzo

The Complete Guide to SEC Rule 17a-4 for Compliance Professionals

Hanzo on

Looking for a great weekend read? You could turn to a classic novel, work your way through the list of articles you were too busy to read at work, or curl up with your favorite beverage and reread Securities Exchange...more

3 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide