Compliance
What The SEC Plans To Do If The Government Shuts Down
- Details Category: Regulatory
If Congressional bickering over the federal budget ends up forcing the government to shut down on Friday, one of the lightning rods of recent debate -- the SEC -- will have to shut down with it, Mary Schapiro says.
New House Budget Proposal Trims Dodd-Frank But Leaves Most Of The Reforms Intact
- Details Category: Regulatory
Despite weeks of speculation that the Republican majority in the House of Representatives would gut Dodd-Frank, their new budget plan only repeals the provisions that mandate "permanent bailouts" and keeps the rest.
FINRA Shuts Down California Broker Linked To Online Penny Stock Manipulation Scheme
- Details Category: Books & Records
Suspicious movements in several normally illiquid stocks raised red flags at FINRA as early as 2005, eventually getting the brokerage firm at the center of the trades shut down over a dismal $300,000 in commissions.
ADV Deadlines In Flux For State-Registered RIAs In Many Parts Of The Country
- Details Category: Advertising Compliance
While the SEC deadline for the "plain language" ADV has come and gone, smaller RIAs have found that their state is willing to take the paperwork in July, August, or even beyond.
Movement To Repeal Dodd-Frank Reaches Senate, But The Argument Is Confusing
- Details Category: Regulatory
A substantial bloc of Republican Senators have sponsored a bill that aims to roll back Dodd-Frank regulations before they really ramp up, but the explanations given could benefit from some fine-tuning.
