Patrick Wallace

Patrick Wallace

McGuireWoods LLP

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Update No. 5: Financial Regulators, SROs Continue Providing COVID-19-Related Relief

As reported in prior McGuireWoods alerts (see April 15, April 6, March 26 and March 17 updates), financial services regulators have been issuing guidance and relief to assist the industry as financial services firms and...more

4/22/2020  /  Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Securities and Exchange Commission (SEC) , SRO
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