Compliance, Enforcement, Regulatory Regulatory Updates October 4, 2018 Jaqueline Hummel Leave a comment FINRA Warns Firms to Finalize Forms U4 and U5 Today! The SEC Withdraws Proxy Voting Letters GIPS Proposes Changes The SEC Targets Advisers for Misleading Investors, Advertising Missteps, and Violations of Reg. S-ID. Read More Here
