Will Whistleblower Claims Give Rise to More SEC Enforcement Actions? By Tom Jensen on 12/09/2010 … Continue Reading Will Whistleblower Claims Give Rise to More SEC Enforcement Actions?
micval33 Treasury Requests Private Sector to Develop System to Identify Financial Contracts By Steve Quinlivan on 12/03/2010 … Continue Reading Treasury Requests Private Sector to Develop System to Identify Financial Contracts
SEC Adopts Temporary Rule Regarding Principal Trades with Certain Advisory Clients By Steve Quinlivan on 12/02/2010 … Continue Reading SEC Adopts Temporary Rule Regarding Principal Trades with Certain Advisory Clients
SIPC Proposes Bylaw Change By Steve Quinlivan on 12/01/2010 … 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 … 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 … Continue Reading CFTC to Propose Definitions of “Swap Dealer” and “Major Swap Participant” on Dec 1
FINRA to SEC: “No Need to Reinvent the Wheel” By Tom Jensen on 11/11/2010 … Continue Reading FINRA to SEC: “No Need to Reinvent the Wheel”
FINRA Ups the Retail Customer Disclosure Ante By Tom Jensen on 10/28/2010 … Continue Reading FINRA Ups the Retail Customer Disclosure Ante
SEC Proposes Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps By Steve Quinlivan on 10/13/2010 … Continue Reading SEC Proposes Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps