Commentary by Steven Lofchie
A registered representative settled FINRA charges for failing to timely file an amended registration Form U4.
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22383 News Results
Commentary by Steven Lofchie
New York Governor Kathy Hochul signed into law the Consumer Credit Fairness Act. The Act addresses predatory debt collection practices.
FINRA provided upcoming deadlines for firms to file their Annual Report, FOCUS Reports and other required filings due in 2022 and the first quarter of 2023.
SEC Chair Gary Gensler addressed regulatory developments in the private funds market, calling attention to issues around fees, fiduciary duties and disclosures.
FINRA requested comment on proposed amendments to shorten the permitted settlement time for syndicate accounts.