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SEC Proposes New Rule Addressing Outsourcing By Investment Advisers - Securities - Vimarsana News

SEC Proposes New Rule Addressing Outsourcing By Investment Advisers - Securities

Published: November 9, 2022

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.

Source: mondaq.com
Related Topics:
Gary GenslerSecurities ExchangeExchange Act RuleFederal RegisterSecurities Exchange ActExchange ActDodd Frank Wall Street ReformConsumer Protection ActElement LearningSec Proposes New Rule Addressing Outsourcing By Investment AdvisersCorporate Commercial LawFinance And BankingFinancial Services
FINRA Focused on Registered Reps Named as Beneficiaries and Trustees for Customer Accounts | Goodwin - Vimarsana News

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

Published: November 3, 2022

​​​​​​​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...

Source: jdsupra.com
Related Topics:
Firm ElementElement LearningRegulatory NoticeRegulatory Element