SEC proposes safe harbor for broker-dealer research reports
The SEC has proposed new rules that offer safe harbor protections for research broker-dealers who provide research reports on mutual funds, ETFs, registered closed-end funds, and business development companies.
THIS IS MEMBERS-ONLY CONTENT
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
Related articles
-
ArticleBroker-dealer Canaccord pays $80M to FinCEN, admits to willful BSA violations
Financial services company Canaccord has been hit with an $80 million penalty by the U.S. Treasury’s Financial Crimes Enforcement Network (FInCEN)–the largest FinCEN penalty against a broker-dealer in its history.
-
ArticleFINRA executive explains regulator’s use of AI at Compliance Week event
The Financial Industry Regulatory Authority (FINRA) has welcomed artificial intelligence (AI) with open arms—and also caution.
-
ArticleFINRA fines First Trust $10M for allegedly giving too-generous gifts to brokers
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.