In This Issue:
Regulatory Updates -
FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling.
Enforcement + Litigation -
Enforcement Division priorities target hedge...more
2/14/2013
/ Administrative Law Judge (ALJ) ,
Brokers ,
CoC ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
Fines ,
Hedge Funds ,
Investment Adviser ,
Investment Funds ,
Securities and Exchange Commission (SEC) ,
Stock Repurchases ,
Valuation