Continue Reading SEC Charges Manager of Private Equity Fund With Violation of the Custody Rule
SEC Provides Guidance on Definition of “Qualified Client”
CFTC Re-Proposes Position Limits on Physical Commodity Derivatives
CFTC Abandons Old Position Limits Rule in Favor of New Rule
FINRA Proposes Rules for Crowdfunding Portals
SEC Unveils Proposed Regulation Crowdfunding
Record CFTC Fines in 2013
SEC Targets Investment Advisers With Previously Identified Exam Deficiencies
SEC is Monitoring General Solicitations