Category: Accountability

How Does a FINRA 15c211 Filing Work?
  • Admin
  • May 31, 2024
The FINRA 15c211 filing is a crucial process for market makers who wish to quote an unlisted security in the United States. This regulation is governed by the Financial Industry Regulatory Authority (....
Navigating the New Landscape: The Impact of the SEC’s Revised Privacy Act Rule
  • Admin
  • Dec 08, 2023
In a significant move to bolster data protection, the Securities and Exchange Commission (SEC) has unveiled a revised Privacy Act rule, which we recently covered. This rule marks a pivotal shift in th....