The SEC has voted to propose a new rule designed to enhance the regulation of the use of derivatives by registered investment com...
CN Editor
November 26, 2019
SEC PUBLISHES DATA ON PUBLIC AND PRIVATE OFFERINGS, MUNICIPAL ADVISORS, TRANSFER AGENTS, AND SECURITIES-BASED SWAP DEALERS
SEC"S NEW ENFORCEMENT CHIEF RESIGNS
SEC PROPOSES AMENDMENTS TO EXCHANGE ACT RULE 15C2-11
SEC AND CFTC ANNOUNCE HISTORIC MEMORANDUM OF UNDERSTANDING BETWEEN AGENCIES
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CIRO NEEDS TO STOP SAYING "SHOULD"
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
FORMER BROKER CHARGED IN "FREE RIDER" CASE
OPINION: WHO WILL PAY FOR CIRO"S DATA BREACH?