In This Issue:
Regulatory Updates -
SEC Proposes Money Market Reform; SEC Eases Ban on General Solicitation and General Advertising in Certain Private Placements; SEC and CFTC Adopt Joint Rules to Address...more
7/19/2013
/ Broker-Dealer ,
CFTC ,
Disclosure Requirements ,
FSOC ,
General Solicitation ,
Identity Theft ,
Insider Trading ,
Investment Funds ,
JOBS Act ,
Marketing ,
Money Laundering ,
Money Market Funds ,
New Legislation ,
New Regulations ,
Nonbank Firms ,
NYSE ,
Private Placements ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Tax Reform ,
Whistleblowers
In This Issue:
Regulatory Updates -
SEC Allows Limited Use of Social Media for Public Disclosure; Federal Reserve Board Publishes a Final Rule Specifying when Nonbank Firms are “Predominantly Engaged in...more
5/17/2013
/ Broker-Dealer ,
Custody Rule ,
ETFs ,
Federal Reserve ,
Final Rules ,
Investment Management ,
Nonbank Firms ,
Pensions ,
Public Disclosure ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Startups