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Panel discussion featured senior figures from financial centers in New York, London, Shanghai, Paris, and Riyadh.
Nasdaq General Rule 4 (Series)
Requires anyone engaged in the securities business of a member firm to register with the Exchange as a representative or principal in each category appropriate to their job functions, unless explicitly exempt under General 4, Rule 1230.
Rule Overview
Jurisdiction: United States
Regulator: Nasdaq
Topic: Registration
Nasdaq General 4 Registration RequirementsOverview
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Charges have been brought for violations of Norway’s Securities Act and the Criminal Code.
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The information requests focus on policies, procedures, training, and surveillance controls around small-cap offerings and trading.
Latest news and developments from the world of crypto.
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In a narrowly-obtained decision, the Fifth Circuit determined that approving the rule exceeded the SEC’s power.
