In brief The Securities and Exchange Commission (“Commission“) recently published a concept release soliciting public comment on a new definition of foreign private issuer (FPI). The ...
Remember 2008, when the housing market crashed? If you thought that was fun, you’re going to love the Trump administration’s latest move. Federal Housing Finance Agency Director ...
YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELFEnd of Year Compliance Requirements For Broker DealersAs the end of 2014 quickly approaches, this Compliance Bulletin serves as a notice and ...
The Securities and Exchange Commission (“SEC”) recently announced an enforcement action against two broker-dealers that apparently failed in their “gatekeeper roles” and improperly engaged in ...
The Gift That Keeps on Giving….. In early 2014, FINRA and SEC regulated firms caught a glimpse of regulatory focus in the form of targeted examination “sweep” letters focused on ...
Earlier this month, FINRA and the SEC issued their exam priorities for 2015. Both agencies continue to pinpoint cybersecurity as a top priority for 2015. Although these priority letters serve as ...
Washington D.C., April 20,2015 — The Securities and Exchange Commission today charged BlackRock Advisors LLC with breaching its fiduciary duty by failing to disclose a conflict of interest created ...
Shares in the iBuyer have traded for as little as $0.58 on the Nasdaq in recent days — well below the $1 threshold companies must meet to avoid delisting.
Taking nonfinancial information into account when conducting financial analyses is not entirely new to professional investors and analysts. But the demand for information beyond ...
With compliance processes driven largely by regulatory requirements, the financial services sector could be forgiven for breathing a sigh of relief under the deregulatory bent of the ...
Examining matters of importance to retail investors Spotlight On Talent: Portia Amato, Compliance Officer By now, every CCO and their team have asked themselves this question, and if you have not ...
Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and ...