Check out this month's Dual Registrant Regulatory Roundup, where we talk about the SEC's exam priorities, the NYSE's adoption of FINRA's remote office rules, and the metaverse. #brokerdealers #investmentadvisers
Sharing the most recent installment of our monthly Dual Registrant #RegulatoryRoundup, authored by attorneys Issa Hanna and Andrew Mount, where we review noteworthy regulatory developments from the past month, specifically tailored for retail #BrokerDealers and #InvestmentAdvisers. To explore the latest developments and ensure you receive this newsletter directly in your inbox, please subscribe. https://lnkd.in/daqsDwTt
