Trump Requires DOL to Reevaluate the Fiduciary Rule By Steve Quinlivan on 02/03/2017 … Continue Reading Trump Requires DOL to Reevaluate the Fiduciary Rule
SEC Simplifies Filing of Broker-Dealer Annual Reports on EDGAR By Steve Quinlivan on 01/30/2017 … Continue Reading SEC Simplifies Filing of Broker-Dealer Annual Reports on EDGAR
Legislation Creating Small Business Advocacy within the SEC Heading to the President’s Desk By David Jenson on 12/12/2016 … Continue Reading Legislation Creating Small Business Advocacy within the SEC Heading to the President’s Desk
House Passes Creating Financial Prosperity for Businesses and Investors Act By David Jenson on 12/06/2016 … Continue Reading House Passes Creating Financial Prosperity for Businesses and Investors Act
SEC Grants Broker-Dealers Relief under New Lease Accounting Standard By Steve Quinlivan on 11/11/2016 … Continue Reading SEC Grants Broker-Dealers Relief under New Lease Accounting Standard
SEC Exams Looking for Whistleblower Violations By Steve Quinlivan on 10/24/2016 … Continue Reading SEC Exams Looking for Whistleblower Violations
Bipartisan Members of Congress and NASAA Declare Support for SEC’s Proposed Modernization of Rules to Facilitate Intrastate Crowdfunding Offerings By Steve Quinlivan on 10/19/2016 … Continue Reading Bipartisan Members of Congress and NASAA Declare Support for SEC’s Proposed Modernization of Rules to Facilitate Intrastate Crowdfunding Offerings
CFPB’s Structure Ruled Unconstitutional but it Avoids Being Dismantled By Zane Gilmer on 10/11/2016 … Continue Reading CFPB’s Structure Ruled Unconstitutional but it Avoids Being Dismantled
SEC’s Proposed Rules for Expedited Settlement May Impact Long-Standing Exception for Firm Commitment Offerings By Steve Quinlivan on 09/29/2016 … Continue Reading SEC’s Proposed Rules for Expedited Settlement May Impact Long-Standing Exception for Firm Commitment Offerings
CFPB Proposes Controversial Rule to Limit Use of Arbitration Agreements By Zane Gilmer on 05/12/2016 … Continue Reading CFPB Proposes Controversial Rule to Limit Use of Arbitration Agreements