InfoBytes

Archive: Securities

• SEC Settles with Broker-Dealer over Market Access Allegations

  November 21, 2014

• Senate Banking Committee Urges SEC To Investigate Time Disparity In Electronic Filings

  November 7, 2014

• CFTC Holds Open Meeting to “Fine-Tune” Derivatives Rules

  November 1, 2014

• FINRA Announces Director Of Dispute Resolution

  November 1, 2014

• SEC Promotes Agency Official to Lead Regional Office Investment Adviser/Investment Company Exam Program

  November 1, 2014

• Regulators Jointly Approve Final Risk Retention Rule

  October 24, 2014

• SEC Finalizes Rule To Adopt Updated EDGAR Filer Manual

  October 24, 2014

• SEC Appoints Marc Wyatt As Deputy Director Of National Exam Program

  October 24, 2014

• FINRA Issues Guidance Notice To Warn Against Settlements Barring Whistleblower Tips

  October 17, 2014

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