Registration

The proposal is potentially good news for affected advisers, but firms should not assume that they will automatically qualify for the new exemption.

Hackworth outlines some of the steps the SEC has taken to transform the SEC’s regulatory framework and lighten some compliance burdens for public companies.

FINRA has advanced two major proposals amending the rule on communications with the public, articulating a risk-based framework for communication review.

Practical guidance for UK firms navigating US SEC authorization and FINRA compliance, including best practices and tips.

The changes would allow more retakes within a shorter span of time.