Combating the Financial Exploitation of Older Adults Commissioner Luis A. Aguilar U.S. Securities and Exchange CommissionMeeting of the Investor Advisory CommitteeWashington, DC July 10, 2014 ...
Opening Statement at Investor Advisory Committee Meeting
Opening Statement at Investor Advisory Committee Meeting
Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session ...
Notice of Annual Meeting of FINRA Firms and Proxy
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information ...
SEC Approves FINRA Rule Concerning Self-Trades Effective Date: August 25, 2014
Evaluating Pension Fund Investments Through The Lens Of Good Corporate Governance Commissioner Luis A. Aguilar Latinos on Fast Track (LOFT) Investors ForumHispanic Heritage FoundationWashington, D.C. ...
New Payments for Market Making Certification Requirement for FINRA Form 211 Effective ...
This is a final rule from the SEC released in 2014 entitled Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border ...