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Browsing Stories of Interest: Rules & Regulations

The Martin Act: Wall Street Titan Takes Aim at Law That Tripped Him Up

April 16, 2018

SEC Proposes Transaction Fee Pilot for NMS Stocks

March 15, 2018

FINRA RegNote 18-09 for Firms Reporting U.S. Treasury Securities to TRACE

March 7, 2018

SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures

February 21, 2018

SEC Launches Share Class Selection Disclosure Initiative to Encourage Self-Reporting and the Prompt Return of Funds to Investors

February 12, 2018

FINRA: Amend Membership App Program to Incentivize Arbitration Award Payments

February 8, 2018

FINRA's New Securities Industry Essentials (SIE) Exam

January 15, 2018

FINRA Board of Governors Meeting

December 20, 2017

FINRA RegNote 17-40: AML/KYC Requirements Under FINRA Rule 3310

November 22, 2017

FIFO: Senate Plan Lets Mutual Funds Skip A Tax Change That Hurts Individual Investors

November 22, 2017

FINRA Rule Proposal Would Allow Firms to Conduct Remote Inspections for Certain Offices

November 17, 2017

SEC Approves CAT Fee Dispute Resolution Process

November 15, 2017

SEC Chair Clayton: Statement on Status of the Consolidated Audit Trail ('CAT')

November 15, 2017

Time to Renew FINRA Registrations - B/D, IA, Agent, IA Rep, Branches

November 6, 2017

SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers

November 6, 2017

FINRA to Create New TRACE Security Activity Report, End-of-Day TRACE Transaction File

November 3, 2017

SEC Approves PCAOB’s New Auditor’s Reporting Standard

October 24, 2017

Proposed Arbitration Rule Change: For Customers Dealing with an Inactive Firm or Associated Person

October 19, 2017

SEC Statement on T+2 Implementation

September 12, 2017

SEC Does ‘Pretty Good Job’ Fighting Insider Trading: Jay Clayton

September 7, 2017

FINRA Reminder: Trade Reporting and T+2 Settlement

September 5, 2017

FINRA Amends Codes Regarding Expedited Arbitrator List Selection

August 18, 2017

Trump Chips Away at Post-Crisis Wall Street Rules (Subsc reqd)

August 15, 2017

DOL’s Latest FAQs Address 401(k) Advisors

August 9, 2017

Wall Street Wish List for SEC Reforms for Public Companies

July 18, 2017

SEC Chair Clayton Signals Plans to Scale Back Corporate Disclosure Rules

July 13, 2017

FINRA FAQs on Enhanced Confirm Disclosures for Corporate, Agency Debt Securities

July 13, 2017

FINRA Rule Change: Reduces Delay Period for Corporate and Agency Debt Historic TRACE Data Sets

July 11, 2017

DOL Rule Could Boost Role of Home Office Portfolios

July 10, 2017

FINRA Rule Proposal: Consolidated Audit Trail - Fee Dispute Resolution

June 19, 2017

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