Uncategorized

Subscribe to Uncategorized via RSS

MSRB to Implement Registration Process for Municipal Securities Dealers and Municipal Advisors

By Steve Quinlivan on 02/27/2014

…
Continue Reading MSRB to Implement Registration Process for Municipal Securities Dealers and Municipal Advisors

SEC Private Equity Enforcement: Expenses, Distributions, Marketing and Custody

By Steve Quinlivan on 02/25/2014

…
Continue Reading SEC Private Equity Enforcement: Expenses, Distributions, Marketing and Custody

IPOs, Tweets and FWPs

By Steve Quinlivan on 02/24/2014

…
Continue Reading IPOs, Tweets and FWPs

SEC Commissioner Says JOBS Act Merits Increased Scrutiny of Transfer Agents

By Jill Radloff on 02/21/2014

…
Continue Reading SEC Commissioner Says JOBS Act Merits Increased Scrutiny of Transfer Agents

SEC Chair Mary Jo White Says Disclosure Reform Is Next For Corporation Finance

By Steve Quinlivan on 02/21/2014

…
Continue Reading SEC Chair Mary Jo White Says Disclosure Reform Is Next For Corporation Finance

Never-Before Examined Registered Investment Advisers Targeted by SEC

By Steve Quinlivan on 02/20/2014

…
Continue Reading Never-Before Examined Registered Investment Advisers Targeted by SEC

SEC Says Registration as an Investment Adviser Not Necessary for 100% Owned Corporate Groups

By Jill Radloff on 02/18/2014

…
Continue Reading SEC Says Registration as an Investment Adviser Not Necessary for 100% Owned Corporate Groups

Make CFTC Large Trader Report Available to FERC by the End of February, Eight Democratic Senators Tell CFTC Chairman

By Steve Quinlivan on 02/17/2014

…
Continue Reading Make CFTC Large Trader Report Available to FERC by the End of February, Eight Democratic Senators Tell CFTC Chairman

Conflict Minerals and BOMcheck

By Steve Quinlivan on 02/17/2014

…
Continue Reading Conflict Minerals and BOMcheck

MN Regulation of Investment Adviser Representatives

By David Jenson on 02/16/2014

…
Continue Reading MN Regulation of Investment Adviser Representatives