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Sen. Elizabeth Warren is once more into the breach against private equity industry, demanding that one of its largest trade associations account for its eventually ...
"The health and safety of all participants in the securities markets is of paramount importance"
It is clear that the need for certain relief remains, such as relief to ensure continued remote operations and to provide flexibility in light of ...
New Jersey regulators will examine investment advisers on how well they’re protecting elder clients from fraud, state Attorney General Gurbir Grewal says. The Garden State’s ...
The COVID-19 crisis forced financial professionals to flee their offices in a hurry. Even if your cabin fever has you reaching The Shining-levels of madness, ...
FINRA’s overarching take is that broker-dealers must supervise reps’ live meetings with customers via video “in a manner reasonably designed to achieve compliance with applicable ...
"For various reasons, including the emergence of new areas of focus as a result of the general and sector-specific effects of COVID-19, it is important ...
"My hope is that we can learn from what we saw in those markets during the COVID-19 crisis to identify regulatory changes that will help ...
“We need to understand better what the heck happened here”
The Commission is issuing the Interim Final Rule as a result of the coronavirus disease 2019
