A broker-dealer agreed to pay $250,000 to settle various FINRA reporting violations, including failing to disclose its sales compensations on preferred securities transactions to customers.
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The MSRB updated its FAQs for regulated entities concerning COVID-19-related regulatory relief.
The MSRB provided additional guidance for regulated entities concerning COVID-19-related regulatory relief.
The staff of the SEC Division of Investment Management withdrew 2010 guidance which reviewed the permissibility of an SEC-registered, closed-end fund determining to opt in to a control share acquisition statute authorized under state law.
The Managed Funds Association and the Alternative Investment Management Association recommended modifications to the SEC's proposal on the use of derivatives by registered investment companies and business development companies.