In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
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In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
FINRA adopted rule amendments that eliminate certain requirements applicable to research reports on "covered investment funds," in accordance with the Fair Access to Investment Research Act of 2017.
The FINRA proposal to eliminate certain requirements applicable to research reports on "covered investment funds," in accordance with the Fair Access to Investment Research Act of 2017, was published in the Federal Register.
FINRA proposed loosening research rule requirements relating to certain investment funds.