The SEC’s Investor Advisory Committee’s (IAC’s) March meeting issued draft recommendations on minority and underserved inclusion in investment and financial services, calling on the SEC to “play an active role...
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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