FINRA requested comment on proposed amendments intended to clarify the application of margin requirements to "when issued" and other extended settlement transactions.
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In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
The SEC Office of the Investor Advocate communicated its FY2021 priorities for protecting and promoting the interests of retail investors.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
In a new report, the SEC highlighted activities and recommendations from an August 2019 forum organized by the Office of the Advocate for Small Business Capital Formation.