The SEC requests comment on an amendment to a proposal relating to per share estimated valuations for unlisted DPP and REIT securities. The comment period expires August 12, 2014. See … Continue reading SEC Requests for Comment on an Amendment Relating to Per Share Estimated Valuations →

Regulatory Notice 14-32 FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer” Implementation Date: August 12, 2014 Executive Summary FINRA has amended the definition of “Hearing Officer” to … Continue reading FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer” →