In This Presentation:
- Personnel Changes
- Insider Trading
- Pay to play prohibitions under fire
- F Squared – Administrative proceeding (December 22, 2014)
- Reliance Financial Advisors -- Admin Cease and Desist Proceedings
- How to crowd fund prior to the adoption of the crowdfunding rules
- SEC 2015 National Exam Priorities
- Excerpt from Personnel Changes:
..New Republican Senate majority
..Whither Dodd Frank?
..Obamacare
..SEC changes
..New Director of the Division of Investment Management
Please see full publication below for more information.