SEC Issues Interim Rule to Permit Retail Forex By Steve Quinlivan on 07/15/2011 … Continue Reading SEC Issues Interim Rule to Permit Retail Forex
PCAOB Adopts Interim Inspection Program for Broker-Dealer Audits By Steve Quinlivan on 06/16/2011 … Continue Reading PCAOB Adopts Interim Inspection Program for Broker-Dealer Audits
SEC Proposes Rules Regarding Broker-Dealer Reporting By Steve Quinlivan on 06/16/2011 … Continue Reading SEC Proposes Rules Regarding Broker-Dealer Reporting
SEC Proposes Rule 506 Bad Actor Disqualifications By Steve Quinlivan on 05/25/2011 … Continue Reading SEC Proposes Rule 506 Bad Actor Disqualifications
SEC Proposes Rules to Remove References to Credit Ratings in Net Capital and Other Rules By Steve Quinlivan on 04/27/2011 … Continue Reading SEC Proposes Rules to Remove References to Credit Ratings in Net Capital and Other Rules
Treasury Official Comments on Dodd-Frank Implementation By Steve Quinlivan on 04/19/2011 … Continue Reading Treasury Official Comments on Dodd-Frank Implementation
CFTC Commissioner Says No Dodd-Frank Delay Is Necessary By Steve Quinlivan on 04/19/2011 … Continue Reading CFTC Commissioner Says No Dodd-Frank Delay Is Necessary
SEC Proposes to Adopt Same 13D Rules for Security Based Swaps By Steve Quinlivan on 03/17/2011 … Continue Reading SEC Proposes to Adopt Same 13D Rules for Security Based Swaps
SEC Adopts Proposed Rules on Incentive-based Compensation for Large Broker-Dealers and Investment Advisors By Steve Quinlivan on 03/04/2011 … Continue Reading SEC Adopts Proposed Rules on Incentive-based Compensation for Large Broker-Dealers and Investment Advisors
How to Get Out of the Municipal Advisory Business By Steve Quinlivan on 02/28/2011 … Continue Reading How to Get Out of the Municipal Advisory Business