Twitter and its IPO must have been one of the topics most…
Read MoreBroker-Dealers to Face Tougher Custody Rules
The SEC recently adopted significant changes to the broker-dealer reporting rules. The…
Read MoreProposed Disclosure Rules Will Not Delay Lifting of General Solicitation Ban
SEC Chair Mary Jo White recently confirmed that the SEC will not…
Read MoreAre DOL and SEC Fiduciary Rules Headed for a Collision?
Two federal government agencies are currently working to create new fiduciary rules…
Read MoreWill We See Crowdfunding Rules This Fall?
Mary Jo White said it. It’s on C-SPAN. Crowdfunding rules could finally…
Read MoreSEC Brings First Action Under Chief Compliance Officer Rule
The SEC recently sanctioned a former portfolio manager under Rule 38a-1(c) of…
Read MoreCongress Could Nix Mandatory Arbitration With Investors Choice Act
In light of the absence of SEC action on topic, Rep. Keith…
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