Continue Reading Will Whistleblower Claims Give Rise to More SEC Enforcement Actions?
Treasury Requests Private Sector to Develop System to Identify Financial Contracts
SEC Adopts Temporary Rule Regarding Principal Trades with Certain Advisory Clients
SIPC Proposes Bylaw Change
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
FINRA to SEC: “No Need to Reinvent the Wheel”
FINRA Ups the Retail Customer Disclosure Ante
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