
Client Alert: SEC and FINRA issue Regulatory Relief During COVID-19 Pandemic
On March 23, 2020, the National Society of Compliance Professionals (“NSCP”) convened regulators and industry experts to discuss regulatory guidance recently issued by the U.S. Securities and Exchange Commission (the “SEC”) and the Financial Industry Regulatory Authority (“FINRA”) in a webinar for NSCP members. On March 23, 2020, the National Society of Compliance Professionals (“NSCP”) […]
Author: Scarinci Hollenbeck, LLC






