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SEC Proposes Communications Exemption for Certain Security Based Swaps

By Steve Quinlivan on 09/08/2014

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FINRA and Exchanges Submit Tick Size Pilot Plan

By Steve Quinlivan on 08/26/2014

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Continue Reading FINRA and Exchanges Submit Tick Size Pilot Plan

MSRB Seeks to Extend Pay-to-Play Rule to Municipal Advisors

By Steve Quinlivan on 08/18/2014

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Continue Reading MSRB Seeks to Extend Pay-to-Play Rule to Municipal Advisors

FSOC = Firing Squad On Capitalism Says SEC Commissioner

By Steve Quinlivan on 07/15/2014

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Continue Reading FSOC = Firing Squad On Capitalism Says SEC Commissioner

New C&DIs on Verification of Accredited Investor Status

By David Jenson on 07/05/2014

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Verifying Accredited Investors in Public Rule 506 Offerings: SIFMA Guidance

By David Jenson on 06/28/2014

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SEC: Don’t Ignore the Habitually Wrong Whistleblower

By Steve Quinlivan on 06/24/2014

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Continue Reading SEC: Don’t Ignore the Habitually Wrong Whistleblower

SEC Orders Exchanges and FINRA to Submit Tick Size Pilot Program

By Steve Quinlivan on 06/24/2014

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A Developing Trend: Heightened Scrutiny of Private Equity Fund Advisers

By Jack Bowling on 06/16/2014

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When Will the SEC Bring an Action Against a Chief Compliance Officer?

By Steve Quinlivan on 05/21/2014

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Continue Reading When Will the SEC Bring an Action Against a Chief Compliance Officer?