My broker-dealer warned that since it’s a forgivable loan it could be seen as a compromise with creditors.
Compliance attorneys for large wealth managers outline which questions are critical in light of the substantial regulatory requirements.
The policy change may prompt more defendants to reach settlements, an attorney says.
Some attorneys say it's welcome relief, but how long will it take to get new hearing dates?
The regulator is giving firms more flexibility in supervising employees working remotely and in relocating personnel to temporary locations.