UPCOMING EVENTS

12/08/2016
It’s not often the U.S. Supreme Court agrees on a topic unanimously but it did so Dec. 6th in upholding a lower court’s insider trading conviction of ...
12/08/2016
‘Tis the season for joy – and it seems OCIE exams of advisers. We’ve heard the same thing from many people across the country over the last few weeks:...
12/08/2016
Seven years after the SEC first threatened to retract its temporary principal trading rule, it’s finally going to happen when 2016 ends (IA Watch, Sep...
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