FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Statement at an Open Meeting of the Commission to Consider the Public Company Accounting Oversight Board�s Proposed 2014 Budget and Accounting Support Fee Commissioner Daniel ...
Protecting Investors Requires a Strong PCAOB Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission SEC Open Meeting, Washington, D.C. Feb. 5, 2014 Investor confidence ...
Protecting the Financial Future of Seniors and Retirees Commissioner Luis A. Aguilar The American Retirement Initiative�s Winter 2014 SummitWashington, DC Feb. 4, 2014 Thank you, ...
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities) ...
This letter follows on a controversial stance by the SEC that holds that some private equity firms should have to register as broker-dealers because they ...
SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants ...
Proxy Rate Reimbursement and Enhanced Brokers’ Internet Platforms Amendments to FINRA Rule 2251 ...
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market ...