Federal Call: Key Insights into its Functioning and Impact

A federal call is a margin call issued under Regulation T, requiring at least 50% cash to fund securities purchases. Learn how it works and its impact on your investments.

Understanding the Kenney Rule: Risk Reduction in Insurance

Learn how the Kenney Rule helps insurers manage risk by maintaining a balanced ratio of unearned premiums to policyholders' surplus, ensuring financial stability.
National Law Review

Marketing Rule Relief for Investment Advisers- SEC Staff Clarifies Flexibility on Model Fees and SRO Disqualifying Events

On January 15, Staff from the Securities and Exchange Commission (SEC) published two new frequently asked questions (FAQs) . The new FAQs underscore the SEC Staff's continued focus on the Marketing ...

Mu Sigma

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