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Financial Industry Regulatory Authority (“FINRA”) supervisory control rules require each securities broker-dealer that is a member of FINRA to categorize every location from which the...
Board Approves Rulemaking Items and Use of 2021 Fine Monies; Meets With SEC Chair Gary Gensler
<p><span>FINRA’s Board of Governors met on March 9-10 for the first time in 2022. The Board approved three rulemaking items and discussed a variety of topics, including technology initiatives and matters pertaining to regulatory operations.</span></p>
The "Advanced Pharmacovigilance Auditing and Inspections" training has been added to ResearchAndMarkets.com's offering. This two day workshop conference will review the EMA and FDA requirements regarding
For Investment Advisors - Observations from Examinations of Private Fund Advisors. The SEC’s Division of Examinations (“EXAMS”) continues to focus on private funds,...