In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
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SEC Division of Investment Management Director Dalia Blass said the Division will be making recommendations on outstanding proposals concerning (i) fund of funds arrangements, (ii) funds' use of derivatives, (iii) fund valuation practices and (iv) investment adviser solicitation and advertising. She also highlighted initiatives to enhance public access to private markets.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
FINRA proposed rule amendments to provide market participants with a daily final trade price for each over-the-counter transaction in exchange-traded managed fund shares as reported to the FINRA/Nasdaq Trade Reporting Facility.