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Firms will be able to treat private residences from which certain supervisory activity is conducted as non-branch offices instead of OSJs. The adoption comes after nearly two years of...
The die is cast: FINRA has published Regulatory Notice 24-02 (RN 24-02) announcing the effective dates and other key dates and considerations for its recently adopted Residential...
On January 18, 2023, Reed Smith sponsored the first SIFMA monthly luncheon of 2023 at the Harvard Club in New York City. The luncheon was very well attended, attracting over 100...