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This week, the SEC published guidance stating that advisors who have taken a Paycheck Protection...
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On April 21, 2020 the Securities and Exchange Commission issued proposed Rule 2a-5 under the...
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In response to the Coronavirus (COVID-19) pandemic, small business owners in all U.S. states,...
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As companies and schools have shifted to remote work and tele-education during the global COVID-19...
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On February 29, 2019, the SEC issued a no-action letter[1] that offered assurance that the Staff...
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On April 7, 2020, the Securities and Exchange Commission (“SEC”) Office of Compliance Inspections...
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Since the publication of our March 18, 2020 blog from Les Abromovitz – Coronavirus Pandemic Creates...
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FINRA has put forth very recent Guidance for member firm broker-dealers, providing temporary relief...
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In February 2020 FINRA published Regulatory Notice 20-05 requesting comments to their proposal to...