Article 21 Aug 2015 CFTC/SEC Jurisdictional Battle Heats Up Over Dividend Indices United States Finance
Article 29 Jan 2015 SEC Extends AML Relief For Broker-Dealer CIP Reliance On Advisers United States Finance
Article 26 Jan 2015 New Best Execution Requirement For Municipal Securities Transactions United States Finance
Article 19 Dec 2014 FINRA And MSRB Seek Disclosure Of Fixed-Income Price Differentials United States Finance
Article 12 Aug 2014 FinCEN Proposes To Expand Financial Institution Customer Due Diligence Requirements United States Finance
Article 16 Jun 2014 Challenges In Requiring High-Frequency Traders To Register As Dealers United States Finance
Article 22 Mar 2014 SEC Proposes Enhanced Regulatory Framework For Certain Registered Clearing Agencies United States Finance