The SEC extended certain regulatory relief for registered transfer agents from May 30, 2020 to June 30, 2020.
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FINRA directed firms to document any reliance on temporary relief from regulatory obligations during the COVID-19 pandemic.
The NYSE reopened its trading floor on May 26, 2020, following a two-month-long closure.
The North American Securities Administrators Association requested comment on a proposed Model Whistleblower Award and Protection Act.
A private equity firm and registered investment adviser settled SEC charges for failing to implement policies to prevent the misuse of material non-public information.