GAO Sees Opportunities to Improve SEC Oversight of FINRA
SEC Publishes Statistics on Changes to Investment Adviser Registration as a Result of the Dodd-Frank Act
SEC Issues “Roadmap” on Phase in of Derivatives Regulation
CFPB Adopts Final Enforcement Rules
SEC Extends Compliance Date for Ban on Third Party Solicitations by Investment Advisers
Agencies Sign Memorandum of Understanding on Supervisory Coordination
Test Filing of Electronic Form PF is Now Available for Hedge Funds and Private Equity Advisers
CFPB Considering Rules on Prepaid Cards
