News & Analysis as of September 21, 2024

Financial Industry Regulatory Authority (FINRA) › Verification Requirements

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Payment for Order Flow (PFOF) and Gamification: Your Questions Answered
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Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

Dechert LLP on 1/24/2018

The U.S. federal securities laws and the rules of U.S. self regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

Corporate and Financial Weekly Digest - Volume IX, Issue 27

Katten Muchin Rosenman LLP on 7/14/2014

In this issue: - SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation - SEC Division of Corporation Finance Issues C&DIs Relating to Accredited Investor...more

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Financial Industry Regulatory Authority (FINRA) › Verification Requirements

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

Corporate and Financial Weekly Digest - Volume IX, Issue 27

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