BROKER-DEALER -
FINRA Files Proposed Rule Change to CAB Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs -
The Financial Industry Regulatory Authority (FINRA) is filing...more
SEC/CORPORATE -
On November 1, the Division of Corporation Finance of the Securities and Exchange Commission (Division) published Staff Legal Bulletin No. 14I (SLB 14I), which provides new, issuer-friendly guidance on...more
SEC/CORPORATE –
SEC Division of Corporation Finance Issues Five Additional C&DIs Relating to Pay Ratio Disclosure Rule –
On October 18, the Securities and Exchange Commission’s Division of Corporation Finance...more
10/24/2016
/ C&DIs ,
Capital Acquisition Broker (CAB) ,
EU ,
Money Market Funds ,
Pay Ratio ,
Regulation S-K ,
Remuneration ,
RTO ,
TRACE ,
UCITS ,
UK