- SEC Approves Revisions to Adviser Registration Reqs ~ Per JOBS …
- DOL Entitles More White Collar Workers to Overtime Pay
- Do You Read the Mutual Fund Prospectus? Here’s How
- Municipal Advisers ~ Core Conduct Obligations Effective June 23, 2016
- Security-Based Credit Default Swaps ~ Margin Requirements Extended Another Year
- Broker-Dealers ~ Fines to FINRA are NOT Tax Deductible
- SEC Targets PE Firms ~ Acting as Unregistered BDs & …
- CFTC Supplements Its 2013 Position Limits Rule Proposal
- Retail Broker-Dealers ~ It’s Time to Link to BrokerCheck
- 2016 GASB Fee ~ for MSRB Reporting Broker-Dealers
- FINRA Requires Educational Info to Customers of a Transferring Representative
- SEC Investor Bulletin: Master Limited Partnerships
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