02-24-21
In Brief: Regulatory Compliance Roundup
Bates continues to track regulatory developments that have long-term impact. Here, we highlight in brief several ongoing matters that affect regulatory compliance, including:
- FINRA Small Broker Annual Report Filing Extension
- DOL Class Exemption
- Lessons from COVID-19 Pandemic
- FINRA Rule on Registered Member Being Named a Customer Beneficiary
- New York Investment Adviser Registration
- NASAA Model Rule on Continuing Education for IARs