You hear it so much it can be easy to dismiss it as hyperbole: an enforcement action comes with reputational harm. That appears to ...
Saying the nation’s “vital national interest” depends on supporting new technologies to keep our markets competitive, Acting CFTC Chairman Christopher Giancarlo announced LabCFTC – a ...
If you see something, say something. That’s the message from Cam Funkhouser, executive VP of FINRA’s Office of Fraud Detection and Market Intelligence, who would ...
President Trump ordered agencies to re-examine regulations, a review now completed by CFTC Acting Chairman Christopher Giancarlo. In a speech May 10 in Lisbon, Portugal, ...
Harmony sounds good. A proposal from the CFTC seeks to align its rule for CCOs with the SEC’s. The agency suggests a number of proposed ...
The SEC has released another snapshot of the private fund industry. Its latest report on Private Fund Statistics tracks trends through data reported via forms ...
Pick a side. One claims Dodd-Frank has stifled the economy and harmed Main Street. The other says replacing Dodd-Frank would invite back the risky financial ...
If only compliance training could hold the drama of a last-second shot that brings victory in a basketball contest. Well, maybe if the topic touches ...
Fully one-quarter of the 334 enforcement actions filed by the SEC in the first half of fiscal year 2017 have involved broker-dealers. Actions against broker-dealers ...
If beauty is in the eye of the beholder, then deciding what qualifies as a material change lies in the hands of the Form ADV ...