Continue Reading SEC Posts FAQs For Mid-Sized Investment Advisers
CFTC: If Rule 10b-5 Works For the SEC, It Should Work For Us Too (And Maybe We’ll Win More Than One Case Every 35 Years)
Final Rules Permit FDIC to Clawback Compensation Based on Negligence for Covered Financial Companies
Federal Reserve and FTC Issue Final Rules to Implement the Credit Score Disclosure Requirements of the Dodd-Frank Act
CFTC Publishes Draft Staff No-Action Letter Regarding Certain CEA Provisions after July 16, 2011
SEC Provides Additional Guidance, Interim Relief and Exemptions for Security-Based Swaps Under Dodd-Frank Act
SEC Changes the Playbook in Proposed Business Conduct Standards for Security-Based Swaps
XBRL Compliance Is Upon Us
SEC Reporting By Exempt Venture Capital, Hedge Fund and Private Equity Advisers