Game-like trading apps and Reg BI top the U.S. SRO's compliance exam agenda
Regulators to examine manufacturer, dealer compliance with new requirements
IIROC publishes its version of the CSA's CFRs, which take effect in 2021
NASAA launches initiative to assess effects of new SEC conduct rules
Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct
SEC rules take effect June 30
Initial compliance exams will focus on firms' commitment to adopting new requirements
U.S. firms are expected to implement the new broker conduct requirements by June 30
New conduct standards top SRO's compliance agenda
FINRA has developed resources to help firms comply with the SEC's new conduct rules