Continue Reading Governor Dayton Signs Investment Adviser Bill
CFTC’s Final Rule on Disruptive Trading Clarifies Disruptive Trading Practices, including that “Strobing” is Prohibited “Spoofing”
SEC Commissioner Comments on JOBS Act; Immigration Reform
CFTC (and FERC) Compliance Managers Take Note – CFTC Schedules Vote on Final Interpretation of Disruptive Trading Practices
Broker-Dealer Due Diligence and FINRA Exam Priorities
Final Red Flags Rules Adopted by SEC and CFTC
The JOBS Act Turns One
SEC Comments on Broker-Dealer Registration by Private Fund Advisers
Accredited Crowdfunding, Internet Advertising and General Solicitation