
Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
broker-dealer

House Passes JOBS and Investor Confidence Act of 2018
By Steve Quinlivan on

SEC Proposes Regulation Best Interest for Broker-Dealers
By Steve Quinlivan on

SEC Simplifies Filing of Broker-Dealer Annual Reports on EDGAR
By Steve Quinlivan on

SEC Grants Broker-Dealers Relief under New Lease Accounting Standard
By Steve Quinlivan on

Crowdfunders and Crowdfunding Service Providers Beware
By Steve Quinlivan on

PCAOB Alerts on Deficiencies in Broker-Deal Audits
By Steve Quinlivan on