| Displaying 371 - 380 (of 417) | < Prev Page Page 38 of 42 Next Page > |
| SEC Adopts Amendments Providing Authorities Access to Data Obtained by Security-Based Swap Data Repositories |
| Posted on Monday, August 29, 2016 at 12:00 AM |
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| Investment Advisers Paying Penalties for Advertising False Performance Claims |
| Posted on Thursday, August 25, 2016 at 12:00 AM |
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| Apollo Charged With Disclosure and Supervisory Failures |
| Posted on Tuesday, August 23, 2016 at 12:00 AM |
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| Company Punished for Severance Agreements That Removed Financial Incentives for Whistleblowing |
| Posted on Tuesday, August 16, 2016 at 12:00 AM |
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| Hedge Fund Manager Charged in Scheme Involving Terminally Ill |
| Posted on Monday, August 15, 2016 at 12:00 AM |
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| SEC Publishes Informative Investor Bulletins Discussing Characteristics of Bonds |
| Posted on Tuesday, July 2, 2013 at 1:12 PM |
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The Securities and Exchange Commission (SEC) has published several Investor Bulletins regarding bonds. They cover corporate bonds, high-yield corporate bonds, municipal bonds and the relationship between bond prices and interest rates. Read More » |
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| An Analysis of the Potential Impact of a Uniform Fiduciary Standard Upon Broker-Dealers, Registered Investment Advisers, and Dually-Registered Advisers |
| Posted on Friday, June 21, 2013 at 1:10 PM |
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Widely considered to be the most sweeping financial regulatory reform of the modern era, the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) was signed into law nearly three years ago. Read More » |
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| Broker Protocol Again Revisited; Still An “Industry Standard” for Employment Transitions? |
| Posted on Friday, May 10, 2013 at 1:09 PM |
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In early 2009 and again in late 2010, I examined the Protocol for Broker Recruiting (the “Protocol”), and court opinions that applied it to situations in which financial advisers had transitioned their employment from one financial services firm to another Read More » |
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| FINRA Reminds Firms of Their Duties Relating to Real Estate Investment Programs |
| Posted on Friday, May 3, 2013 at 1:08 PM |
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Recently, FINRA issued Regulatory Notice 13-18 to remind financial services firms of their duties relating to unlisted real estate investment trusts (REITs) and unlisted direct participation programs (DPPs) that invest in real estate. Read More » |
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| Securities Industry Continuing Education Program Reveals Investor Protection Priorities |
| Posted on Monday, April 22, 2013 at 1:07 PM |
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Recently, the Securities Industry/Regulatory Council on Continuing Education published its semi-annual “Firm Element Advisory.” Read More » |
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| Displaying 371 - 380 (of 417) | < Prev Page Page 38 of 42 Next Page > |
