The IAA objects to FINRA’s questions on whether standards for complex products and options should apply to investment advisers because FINRA has no authority over investment advisers.
FINRA recently published guidance outlining when CCOs’ role is advisory and when CCOs may be liable for failing to discharge their supervisory responsibilities.
SEC Approves FINRA’s Ease of Restrictions on Foreign Funds’ Participation in Initial Public Offerings November 25, 2019 The SEC has approved amendments to FINRA Rules 5130 and 5131, which...
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