Tue, Sep 18, 2018
Through FINRA Regulatory Notice 17-30, the Securities and Exchange Commission (SEC) approved certain rule changes. These changes will:
These rules take effect on October 1, 2018. A copy of this Notice can be found here.
If you have any questions or require further information, please do not hesitate to contact one of our experts.
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.