United States: FINRA Extends Temporary Relief For FINRA Staff From Certain Procedural Requirements - Cadwalader, Wickersham & Taft LLP

Mondaq

31 Dec 2021 0 shares 1 views

Mondaq

Published 31 Dec 2021

FINRA stated this extension is necessary due to continued uncertainty related to the presence of COVID-19 variants.

United States: FINRA Imposes Fee Limits On Proxy Distributions - Cadwalader, Wickersham & Taft LLP

Mondaq 31 Dec 2021

FINRA adopted amendments to a rule on reporting and fee requirements for the delivery by broker-dealers of proxy and other..