Mahlet Ayalew

Mahlet Ayalew

WilmerHale

Contact
View Bio
RSS

Latest Posts › Conflicts of Interest

Share:

SEC's Equity Market Structure Advisory Committee Considers Market Volatility and Customer Issues

The Equity Market Structure Advisory Committee (EMSAC or Committee) held its third meeting at the Securities and Exchange Commission (Commission or SEC) in Washington DC on February 2, 2016. The Committee is considering...more

3/1/2016  /  Broker-Dealer , Conflicts of Interest , Equity Markets , Liquidity , Market Participants , Regulation NMS , SEC Advisory Committee , Securities and Exchange Commission (SEC)

A Bold New Regulatory Landscape for Research: SEC Approves FINRA Rules Addressing Conflicts of Interest for Equity and Debt...

More than ten years after the Global Research Settlement and the adoption of NASD Rule 2711, the Securities and Exchange Commission (SEC or Commission) has approve new FINRA rules addressing conflicts of interest for both...more

7/28/2015  /  Conflicts of Interest , Debt Securities , Equity Securities , Financial Analysts , Financial Industry Regulatory Authority (FINRA) , Investment Banks , NASD , Proposed Regulation , Securities and Exchange Commission (SEC)
2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide