Regulatory News Update: New FINRA “Residential Supervisory Location” (RSL) Approved by SEC
Financial Regulation
Regulatory News Update: Court of Appeals Vacates SEC Private Fund Rule in its Entirety
The United States Court of Appeals for the Fifth Circuit has vacated the Securities and Exchange Commission's (“SEC”) rule aimed at enhancing the regulation of private fund advisers (“Private ...
Regulatory News Update: SEC Adopts Changes to the Definition of Dealer and Government Securities Dealer
What: The SEC adopted final rules that significantly expand the definitions of “dealer” and “government securities dealer”. The final rules require certain market participants that take on ...
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