RCW Staff
It wasn't a good week for Rep. Maxine Waters (D-Calif.) and her bill, H.R. 1627, that would permit the SEC to charge user fees to ...
U.S. exchanges are cooperating with FINRA toward an SEC-ordered pilot program to test the of viability a minimum trading increment for small-cap stocks of $0.05 ...
Last Thursday marked the 4th anniversary since the enactment of the most significant financial regulatory reforms since the Great Depression (IA Watch, July 5, 2010). ...
The small Midwest adviser had never been examined by the SEC, until recently."I was absolutely terrified," says the CCO, who also wears other hats within ...
Three in four respondents to a new survey clicked off that cybersecurity's one hot topic. "That's probably the highest percentage we've ever had for a ...
One lesson shines brightly from advisers who encountered incidents prompting implementation of their business continuity plan: dump the phone tree.It's common for advisers to have ...
The July 21, 2014 weekly briefing of IA Watch.
Christopher Plummer, Lex M. Cowsert, and CytoGenix, Inc. (Release No. LR-23047; July 18, 2014) U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23047 / July ...
CFTC alleges that Steele solicited at least $1.97 million from at least 24 pool participants to participate in three forex pools.