In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
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The SEC Division of Investment Management is seeking feedback on the definition of "qualified custodian" under the SEC's "Custody Rule".
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
SEC Commissioner Hester Peirce asserted that Commissioners should not substitute their judgment for decisions made by investors, specifically regarding (i) arbitration between public companies and shareholders and (ii) investments in digital assets.