U.S. CAPITOL

Compliance Departments Brace For Trump Impact

Professionals expect a slowdown in rules and a continued significant role for compliance departments.

Peter Rawlings and Ben Maiden 22 November, 2016
NEWS ROUNDUP PHOTO

Today’s compliance news from around the web.

Compliance Reporter 2 December, 2016
Gavel And Scales Of Justice On Desk In Law Office

Three cases hew to Gartenberg over Jones v. Harris for 36(b).

Marissa Capodanno 2 December, 2016
Gavel And Scales Of Justice On Desk In Law Office

Three cases hew to Gartenberg over Jones v. Harris for 36(b).

Marissa Capodanno 2 December, 2016
Goelman-Aitan-headshot

The CFTC has been using new enforcement authority under Dodd-Frank to bring cases.

Peter Rawlings 2 December, 2016
NEWS ROUNDUP PHOTO

Today’s compliance new s from around the web.

Compliance Reporter 1 December, 2016
Stock market price display

FINRA’s ‘B/D Light’ Brings Pros, Cons

New FINRA rules distinguish between traditional B/Ds and firms involved in capital raising and other financing transactions.

Compliance Reporter 18 November, 2016
PAY-TO-PLAY

Pay-To-Play: Preparing For FINRA’s Ban

Many B/Ds will face challenges, but those that comply with similar SEC and MSRB rules will have a model to work with.

Compliance Reporter 8 November, 2016
TRADING 3

Complying With The New Muni Close-Out Process

Dealers need to be aware of the new calendar day counts ensure they are in compliance.

Compliance Reporter 25 October, 2016

With Trump’s election has come a whirlwind of regulatory uncertainty.

Peter Rawlings 23 November, 2016

Conservatives get a second chance to undo essential post-crisis safety measures. Will we ever learn?

Ben Maiden 9 November, 2016

Passport To Nowhere

28 September, 2016

Calling The Robo-Cops

14 September, 2016

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