Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Continuing Education Planning
NASAA and the SEC: Presenting a United Front to Protect Investors Commissioner Luis A. Aguilar North American Securities Administrators AssociationAnnual NASAA/SEC 19(d) ConferenceWashington, D.C. April ...
FINRA Requests Comment on the Effectiveness and Efficiency of its Communications With the Public Rules ...
FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules ...
This is a proposed rule from 2014 concerning investment company advertising for target date funds. It seeks additional comments after a proposed revision from the ...
Remarks Before the SEC / Academy of Finance Shadowing Program Commissioner Daniel M. Gallagher Washington, D.C. April 3, 2014 Thank you, Tyler [Kirk], for that ...
Taking an Informed Approach to Issues Facing the Mutual Fund Industry Commissioner Luis A. Aguilar Washington, DC April 2, 2014 Good afternoon. Thank you for ...
Remarks at the 26th Annual Corporate Law Institute, Tulane University Law School: Federal Preemption of State Corporate Governance Commissioner Daniel M. Gallagher New Orleans, LA ...
The Commission�s Role in Addressing the Growing Cyber-Threat Commissioner Luis A. Aguilar March 26, 2014 *I would like to start by welcoming each of the ...