Latest Breaking News On - Dealer trading practices - Page 1 : comparemela.com

SEC Fiscal Year 2024 Examination Priorities

SEC Fiscal Year 2024 Examination Priorities
natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.

Financial technologyDivision of examinationsExchange commissionExchange act ruleRisk alertMarketing ruleCustomer relationship summaryAdvisers actBest interestRegulation best interestDealer financial responsibility rulesNet capital ruleCustomer protection ruleDealer trading practicesOperational resiliencyEmerging financial technology

Investment Management Update - November 2023 | Skadden, Arps, Slate, Meagher & Flom LLP

.SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investmen.

United statesNew yorkAdam markovichAlexandera ahmadiAndrewm middlebrooksOsman nawazMarkt uyedaKristena dalyAlexandram koscoveGary genslerKaty berkHesterm peirceMaxa rosenthalAmendments to fund names ruleExchange ruleSolutions inc

SEC Division Of Examinations Publishes 2024 Priorities: Spotlight On Investment Advisers And Broker-Dealers - Securities

On October 16, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities for its fiscal year 2024 (Oct. 1, 2023 - Sep. 30, 2024).

Exchange act ruleDivision of examinationsExchange commissionRisk alertMarketing ruleCustomer relationship summaryBest interestRegulation bestDealer financial responsibility rulesCapital ruleCustomer protection ruleDealer trading practicesEmerging financialMoney launderingSec division of examinations publishes 2024 priorities spotlight on investment advisers and broker dealersCorporate commercial law

Spotlight on Investment Advisers and Broker-Dealers | Katten Muchin Rosenman LLP

On October 16, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities for its fiscal year 2024 (Oct. 1, 2023 - Sep. 30,.

Division of examinationsFinancial technologyExchange commissionExchange act ruleRisk alertMarketing ruleCustomer relationship summaryAdvisers actBest interestRegulation best interestDealer financial responsibility rulesNet capital ruleCustomer protection ruleDealer trading practicesOperational resiliencyEmerging financial technology

Examining SEC s 2021 Examination Priorities - Corporate/Commercial Law

Examining SEC s 2021 Examination Priorities - Corporate/Commercial Law
mondaq.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondaq.com Daily Mail and Mail on Sunday newspapers.

City ofUnited kingdomExchange commission divisionNational securities exchangesOffice of compliance inspectionsFinancial technology fintechFinancial industry regulatory authorityExchange commissionCompliance inspectionsIndustry regulatory authoritySecurities rulemaking boardRegulation best interestSales practicesTargeted investmentsInformation securityFinancial technology