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SEC Grants Second Rule 506 Bad Actor Waiver

By David Jenson on 01/11/2014

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SEC Issues Interpretive Guidance on Municipal Advisor Registration Rules

By Steve Quinlivan on 01/10/2014

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Hopes Are Up For Invalidation of the Conflict Minerals Rules

By Steve Quinlivan on 01/08/2014

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SEC Issues Report on Examination of Ratings Agencies

By Steve Quinlivan on 01/07/2014

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Continued Controversy Surrounding Proposed Regulation D Amendments

By Steve Quinlivan on 01/06/2014

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FERC & CFTC sign MOUs on Jurisdiction and Information Sharing (Finally)

By Steve Quinlivan on 01/06/2014

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CFPB Issues Report to Congress

By Jill Radloff on 01/05/2014

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SEC Removes References to NRSRO Ratings in Certain Rules and Forms

By Steve Quinlivan on 01/04/2014

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New Rule 506 FAQs: 20% Beneficial Owners, 506(e) Disclosure

By David Jenson on 01/04/2014

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New Year Brings Changes to End User Reporting Requirements for Trade Options and Swaps

By Steve Quinlivan on 12/31/2013

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Continue Reading New Year Brings Changes to End User Reporting Requirements for Trade Options and Swaps