FINRA proposed revisions to the content outline for Research Analyst exams (FINRA Series 86/87).
News & Insights
A broker-dealer and its CEO settled FINRA charges for associating with an individual who was subject to statutory disqualification and permitting that individual to engage in activities that required registration as a Municipal Securities Representative.
House Republicans criticized the FTC rulemaking proposal to ban noncompete clauses, asserting that the proposal "exceeds its delegated authority and imposes a top-down, one-size-fits-all approach that violates basic American principles of federalism and free markets."
Christine S. Wilson resigned as an FTC Commissioner, announcing her departure via an Op-Ed published in the Wall Street Journal.
The SEC Division of Corporation Finance updated its Regulation S-K Compliance and Disclosure Interpretations to include guidance on the new pay versus performance disclosure rules.