CCOs advised to delegate document production in exam prep

They should also prepare a ‘cheat sheet’ with basic info

Jason Bisnoff 21 May, 2018

SEC agenda update brings derivatives rule back in the spotlight

The SEC is eyeing an October 2018 completion date

Stan Wilson 21 May, 2018

Officials say Supreme Court disgorgement ruling is impeding enforcement

Co-chiefs of the Enforcement Division testified before a House subcommittee

Peter Rawlings 18 May, 2018

SEC best interest proposal requires business-compliance dialogue

Ex-SEC officials see continuity with past priorities and the DOL rule

Jason Bisnoff 17 May, 2018

Barclays fined $400,000 over options reporting, position limits

The firm also agreed to revise its policies and procedures

Peter Rawlings 17 May, 2018

House gives up on using Senate bill to pass fund agenda

House Speaker Ryan won’t include financial legislation favored by the fund industry

Stan Wilson 16 May, 2018

Q&A: Michael Pieciak, NASAA

The incoming NASAA president spoke with CR about his plans for the year ahead

Jason Bisnoff 16 May, 2018

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