A career as a Wall Street lawyer creates many relationships. The heat in an otherwise lukewarm Senate Banking Committee hearing on SEC Chairman nominee Jay ...
Comments about the CFTC’s proposed recordkeeping rule should provide a test of the new Trump Administration’s regulatory philosophy (CPO/CTA Watch, Jan. 18, 2017). The industry’s ...
Broker-dealers now have until Sept. 5 to comply with a shortened T+2 settlement cycle for securities transactions. The SEC March 22 unanimously approved an amendment ...
FINRA has filed a proposal with the SEC to streamline competency exams and facilitate opportunities for those who seek to enter or re-enter the securities ...
More than 500 comments have flooded into the Labor Department about its proposal to delay for 60 days its fiduciary duty rule (IA Watch, March ...
Initial projections that FINRA would realize a record year for fines in 2016 (BD Watch, Oct. 13, 2016) have been confirmed. The SRO ordered a ...
The unionized OCIE examiner worked a four-day, 10-hour per day schedule that allowed him to take off Fridays. But the firm he was examining kept ...
Include in your definition of personally identifiable information any “security code, access code or password that would permit access to an individual’s financial account.” ...
The Federal Register has published the Labor Department’s 8-page proposed rule that would move its fiduciary duty rule’s applicability date to June 9th from April ...
The SEC has taken another step in its ongoing efforts to improve transparency in the municipal securities market. The Commission approved March 1 proposed amendments ...