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SEC Proposes New Rule Addressing Outsourcing By Investment Advisers - Securities

On October 26, the SEC proposed a new rule 206(4)-11 and related amendments addressing investment advisers' outsourcing of certain services or functions to third-party service providers. ....

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FINRA Focused on Registered Reps Named as Beneficiaries and Trustees for Customer Accounts | Goodwin

FINRA recently highlighted Rule 3241 in the 2023 Regulatory Element Learning Plan. Rule 3241 became effective in early February 2021 and prohibits a registered person from being. ....

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