FINRA recently filed a proposed rule change with the SEC to amend Rules 13100 and 12100 of the FINRA Code of Arbitration Procedure to simplify the definition of a non-public arbitrator and to address an eligibility gap that has been preventing certain otherwise...
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Month: July 2017
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- SEC adopts amendments to prevent misleading or deceptive fund names
- SEC charges YieldStreet and its subsidiary for misleading investors
- SEC using AI as part of surveillance and enforcement, Gensler says
- Judge approves settlement in lawsuit over Wells Fargo unauthorized accounts
- FINRA remote supervision proposal draws continued opposition
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