The Preferred Return Podcast | AIFMD II – Implementation Begins
Investment Management Update - January 2015
BROKER-DEALER - SEC and CFTC Chairman Issue Joint Letter Regarding CFTC Orders Implicating Regulations A and D - On October 23, Chairman Jay Clayton of the Securities and Exchange Commission and Chairman Heath P....more
BROKER-DEALER - FINRA Requests Comment on Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities - The Financial Industry Regulatory Authority issued a regulatory notice...more
Where do we go from here? As we mark another milestone in regulatory reform with the fourth anniversary of the enactment of the Dodd-Frank Act, it strikes us that although most studies required to be undertaken by the Act...more