11 2022 Analysis Retail Tools 
Data Matters
SEPTEMBER 20, 2021
Among other matters, the revised bond factors establish a more granular rating analysis by expanding the number of bond designation categories from the previous six categories to 20 categories. Valuation of Securities (E) Task Force Adopts an Amendment to the Purposes and Procedures Manual to Add Instructions for Review of Funds.
Data Matters
SEPTEMBER 4, 2019
Securities and Exchange Commission on June 5, 2019, broker-dealers and associated persons are required to act in the best interest of a retail customer when recommending a securities transaction or investment strategy involving securities to a retail customer. The SAP Working Group voted to adopt revisions to SSAP No.
Expert insights. Personalized for you.
88 
Let's personalize your content