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SEC Publishes Statistics on Changes to Investment Adviser Registration as a Result of the Dodd-Frank Act

By Steve Quinlivan on 06/12/2012

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SEC Issues “Roadmap” on Phase in of Derivatives Regulation

By Steve Quinlivan on 06/11/2012

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JOBS Act Allows Many Community Banks to Deregister with SEC

By Jill Radloff on 06/11/2012

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CFPB Adopts Final Enforcement Rules

By Steve Quinlivan on 06/08/2012

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SEC Extends Compliance Date for Ban on Third Party Solicitations by Investment Advisers

By Steve Quinlivan on 06/08/2012

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Agencies Sign Memorandum of Understanding on Supervisory Coordination

By Steve Quinlivan on 06/06/2012

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Test Filing of Electronic Form PF is Now Available for Hedge Funds and Private Equity Advisers

By Steve Quinlivan on 05/24/2012

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CFPB Considering Rules on Prepaid Cards

By Steve Quinlivan on 05/24/2012

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Advertising by Hedge Funds and Private Equity Groups After the JOBS Act

By Jill Radloff on 05/21/2012

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GAO Identifies Internal Control Issues at CFPB

By Steve Quinlivan on 05/21/2012

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Continue Reading GAO Identifies Internal Control Issues at CFPB