- 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
- FINRA Podcast ~ Recap for July 2016
- Broker-Dealers in Treasury Securities ~ FINRA Proposes TRACE Reporting Change
- Broker-Dealer Auditor Inspections ~ PCAOB Focus Areas for 2016
- The SEC Ups Net Worth Minimum of “Qualified Client”
- High Class Concern for Advisers ~ OCIE’s 2016 Share Class …
- AP Personal Trading ~ SEC Approves New & Consolidated Rule
- BCP Brush-Up for Broker-Dealers
- CFTC Reminds Firms of SAR Reporting & OFAC Compliance
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