- SEC Initiatives on Equity Market Structure
- SEC Forum on Fintech Innovation
- OCIE to Review RIA’s with Blemished Members
- Summer’s End Updates for Commodity Firms
- SEC Rides FINRA’s New CAB ~ the Capital Acquisition Broker
- New Form ADV Approved ~ Changes to Investment Adviser Reporting
- MSRB Rule G-37 Clarity ~ Political Contributions Look Back Period
- MSRB Guides on Rule G-14 ~ Report of Muni Sales/Purchases
- SEC’s Principal Trading Rule Will Expire Year End
- Do You Understand Performance Claims When Investing?
- Should Changes to Gift Rules for Broker-Dealers Fly?
- CFTC Duo on Cross-Border Swap Rules
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