News

Commission mulls elder abuse database

Database would identify and alert all financial entities linked to a client as well as medical professionals

Stan Wilson 3 hours ago

SEC fast tracks ETF rule, liquidity buckets’ demise

Commissioner Michael Piwowar’s July 7 resignation may have encouraged agency’s swift action

Stan Wilson 4 hours ago

Northern CCO sees cooperation in liquidity rule prep

The industry is gearing up for the Dec. 1 deadline

Jason Bisnoff 4 hours ago

Compliance cautioned on GDPR whistleblower conflicts

Whistleblower program may collect personally identifiable information

Jason Bisnoff 22 June, 2018

MSRB guides on muni adviser recommendations

The board updated FAQs on Rule G-42

Peter Rawlings 22 June, 2018

Supreme Court rules SEC in-house judge appointments unconstitutional

In a 6-3 decision, the court rendered an ALJ’s ruling invalid

Peter Rawlings 21 June, 2018

Mifid II presents challenges with unsolicited research

The EU rule required unbundling of research payments

Jason Bisnoff 21 June, 2018

Finra bars principal/CCO for violating settlement terms

Dakota Securities International was also expelled from SRO membership

Peter Rawlings 20 June, 2018

New SEC analytics chief pushes compliance to make more use of data

Chyhe Becker is the new acting director of DERA

Jason Bisnoff 20 June, 2018




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