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SEC Adopts Temporary Rule Regarding Principal Trades with Certain Advisory Clients

By Steve Quinlivan on 12/02/2010

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Continue Reading SEC Adopts Temporary Rule Regarding Principal Trades with Certain Advisory Clients

SIPC Proposes Bylaw Change

By Steve Quinlivan on 12/01/2010

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Continue Reading SIPC Proposes Bylaw Change

SEC Proposes Rules Regarding Eligibility of Investment Advisers to Register With the SEC

By Steve Quinlivan on 11/25/2010

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Continue Reading SEC Proposes Rules Regarding Eligibility of Investment Advisers to Register With the SEC

CFTC to Propose Definitions of “Swap Dealer” and “Major Swap Participant” on Dec 1

By Steve Quinlivan on 11/24/2010

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Continue Reading CFTC to Propose Definitions of “Swap Dealer” and “Major Swap Participant” on Dec 1

Beware of Twitter

By Steve Quinlivan on 10/20/2010

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SEC Proposes Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps

By Steve Quinlivan on 10/13/2010

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Continue Reading SEC Proposes Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps

SEC Adopts Interim Rule on Reporting and Record Retention for Pre-Enactment Security-Based Swaps

By Steve Quinlivan on 10/13/2010

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Continue Reading SEC Adopts Interim Rule on Reporting and Record Retention for Pre-Enactment Security-Based Swaps