FINRA 2010 Examination Highlights
April 1, 2010
by
Core Compliance
April 2010
Implementing Compliance Solutions
March 1, 2010
by
Core Compliance
March 2010
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
Hedge Fund Compliance & the Aftermath of Goldstein
July 1, 2009
by
Michelle Jacko
July 2007