The MSRB proposed a rule change that would restructure the Series 52 Qualification Exam around specialized knowledge.
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21953 News Results
A broker-dealer settled charges regarding misconduct in the sale of market-linked investments to retail investors.
The Federal Trade Commission approved amendments to clarify the Hart-Scott-Rodino Act Premerger Notification Rules and to simplify HSR Form filing instructions.
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In a new report, ISDA, SIFMA and several other trade associations found that few market participants have implemented programs to begin the transition from interbank offered rates to alternative risk-free rates.