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Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's New Office of Financial Innovation and a Proposal From the...

Katten Muchin Rosenman LLP on

BROKER-DEALER - OCIE Issues Risk Alert on Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P - On April 16, the Office of Compliance Inspections and Examinations (OCIE) of the Securities...more

Mintz - Public Finance Viewpoints

Financial Services Legislative And Regulatory Update -- December 17, 2012

Mintz - Public Finance Viewpoints on

In This Issue: Leading the Past Week; Fiscal Cliff; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - Whatever happened in the world of financial services last...more

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