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Examination Procedures Securities and Exchange Commission (SEC) Financial Industry Regulatory Authority (FINRA)

Goodwin

SEC Proposes Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers”

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In This Issue. The U.S. Securities and Exchange Commission (SEC) proposed rules to include certain significant market participants as “dealers” or “government securities dealers” to essentially eliminate the trader exclusion...more

Goodwin

SEC Publishes Observations From its Registered Investment Company Initiatives

Goodwin on

In this Issue. The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations recently published a risk alert spotlighting observations from its “RIC Initiatives”; the Federal Financial Institutions Examination...more

A&O Shearman

Preparing for the Consolidated FINRA Registration Rules and Restructured Examination Requirements

A&O Shearman on

In October 2017, the Financial Industry Regulatory Authority (FINRA) announced, through Regulatory Notice 17-30 (the “Notice”),[1] that the U.S. Securities and Exchange Commission (SEC) approved a proposed rule change, which,...more

Latham & Watkins LLP

FINRA Proposes New Registration and Examination Rules

Latham & Watkins LLP on

The proposed consolidated rules bifurcate the representative-level examination program and introduce greater flexibility in obtaining and maintaining registrations. On March 8, 2017, the Financial Industry Regulatory...more

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