Insights

Jul
04
Comment Letter Regarding Regulatory Notice 17-20: Retrospective Rule Review on the Effectiveness and Efficiency of FINRA’s Rules on Outside Business Activities and Private Securities Transactions

Please follow the link below to download our comment letter.


Regulatory Notice 17-20


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New York, NY 10004 

Telephone: 212-509-7800

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Telephone: 908-743-1300

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Summit, NJ 07901 

Telephone: 908-743-1300

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Telephone: 561-453-3800

7000 W Palmetto Park Rd., Suite 503

Boca Raton, FL 33433 

Telephone: 561-453-3800

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*SOC 1 Type 2 certification only covers: 

Fund Accounting, Administration and Investor Services.

*SOC 1 Type 2 certification only covers: 

Fund Accounting, Administration and Investor Services.

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