That highly publicized regulator-on-regulator enforcement action last month - the SEC slapping FINRA for a third incident in eight years that SRO staff gave the ...
Remarks at SIFMA’s 2011 Annual Meeting (Chairman Mary L. Schapiro; November 7, 2011) Remarks at SIFMA’s 2011 Annual Meeting Chairman Mary L. Schapiro New York, ...
SEC Speech: Remarks at Stanford Center on Longevity – FINRA Investor Education Foundation Conference, by Chairman Mary L. Schapiro, on November 3, 2011 Speech by ...
A law firm recently put out an alert stating it has encountered at least eight Department of Labor investigations in recent months. Most of these ...
The Senate has approved Daniel Gallagher as the newest SEC commissioner (IA Watch, May 23, 2011). When he is formally sworn in, the Commission will ...
The painful financial sting threatened by a violation of ERISA's prohibited transaction provisions can give firms second thoughts about entering the marketplace. Last week the ...
It's the one thing that's been missing in the debate about creating a new SRO to examine advisers or to go with FINRA: what would ...
The lifelong friendship between Manuel Dupkin and Stan Rothschild outlasted most marriages. For more than 70 years they were "close friends and business associates," most ...
This is the 2011 final rule from the SEC laying down the rules for advisers to private funds, some commodity pool operators and trading advisers ...
This is the SEC's decision in 2011 on what to charge exempt-reporting and private fund advisers to report via IARD their Form ADV and Form ...