The SEC’s Semiannual Regulatory Agenda. The Federal Office of Information and Regulatory Affairs posted the SEC’s most recent Semiannual Regulatory Agenda which, in compliance with the Regulatory Flexibility Act, identifies...more
12/5/2014
/ Administrative Hearings ,
Brokers ,
CFTC ,
CPOs ,
Cross-Border Transactions ,
Disgorgement ,
HSBC ,
Investment Adviser ,
Prejudgment Interest ,
Regulatory Agenda ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Small Business
In this issue:
- In preliminarily denying two exemption requests, the SEC takes a stand for market transparency in ETFs and upholds the arbitrage mechanism that allows market prices to closely track NAVs.
-...more
10/30/2014
/ ABS ,
Administrative Hearings ,
Arbitrage ,
Asset-Backed Securities ,
Bank Secrecy Act ,
Disclosure Requirements ,
Enforcement Actions ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Flood Insurance ,
Flood Zones ,
Money Services Business ,
Municipal Advisers ,
NAV ,
New Regulations ,
Private Equity Funds ,
Proposed Regulation ,
Risk Retention ,
Securities and Exchange Commission (SEC) ,
Transparency ,
Virtual Currency