Regulation & law · 09/09/2026

FINRA Proposes Rule Change to Simplify Alternative Investment Requirements

The Financial Industry Regulatory Authority (FINRA) has filed a proposed rule change to amend FINRA Rule 4522, which governs periodic security counts, verifications, and comparisons for certain alternative investments, aiming to simplify position statement and reconciliation requirements.

Original source language: Federal Register — All DocumentsOpen original release →

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Regulation & law · 10/14/2026

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Regulation & law · 10/13/2026

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Regulation & law · 10/13/2026

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Regulation & law · 10/13/2026

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Regulation & law · 10/13/2026

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Regulation & law · 10/13/2026

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