An MSRB proposal amending interpretive guidance on certain disclosure obligations for municipal securities and municipal advisory activities was published in the Federal Register.
News & Insights
22403 News Results
The SEC proposed rule amendments that would revise the description of business, legal proceedings and risk factor disclosures registrants are required to make under Securities Act regulations.
OFAC found two companies in violation of OFAC sanctions reporting rules for providing inaccurate or incomplete information.
Regulation Best Interest significantly expands the obligations that broker-dealers owe to retail investors. To assist in navigating these new requirements, the Cabinet produced four new Retail Best Interest Topic Pages.
On August 8, 2019, the National Credit Union Administration renamed the "Office of Public and Congressional Affairs."