United States: Under Proposed Exemptive Order, Finders Need Not Register With A Broker-Dealer To Receive Transaction-Based Compensation - Kilpatrick Townsend & Stockton LLP

Mondaq

05 Nov 2020 0 shares 1 views

Mondaq

Published 05 Nov 2020

On October 7, 2020, the Securities and Exchange Commission (the "Commission") released a Notice of Proposed Exemptive Order ("Notice")

United States: SEC Fines Broker-Dealer $100,000 For Failing To Retain Text Messages - Kilpatrick Townsend & Stockton LLP

Mondaq 05 Nov 2020

The Securities and Exchange Commission ("SEC") entered an order ("Order") yesterday against a broker-dealer for failing to retain..