FINRA’s Proposed Amendments to Rule 2210-Communications with the Public
December 1, 2009
by
Michelle Jacko
Dec. 2009
Final Model Privacy Form Adopted by the SEC & Regulation S-P Updates
November 1, 2009
by
Michelle Jacko
Nov. 2009
SEC Rule Proposal: Regulating “Pay to Play” Practices
September 1, 2009
by
Michelle Jacko
Sept. 2009
Red Flag Rule Postponed (Again)
July 1, 2009
by
Core Compliance
July 2009
Hedge Fund Compliance & the Aftermath of Goldstein
July 1, 2009
by
Michelle Jacko
July 2007
Alternative Adviser Registration Options
June 1, 2009
by
Michelle Jacko
June 2009