In this issue:
- US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule
- FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements
- SEC Issues FAQs...more
In this issue:
- SEC Issues New FAQs on Conflict Minerals
- SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule
- FINRA Requests Comment on Rules Regarding...more
In this issue:
- Delaware Supreme Court Upholds Chancery Court Ruling that Applied Business Judgment Rule to Going Private Transaction with Controlling Stockholder
- Amendments to Uniform Branch Office...more
3/24/2014
/ CFTC ,
Controlling Stockholders ,
Corporate Counsel ,
Discrimination ,
Employer Liability Issues ,
Financial Industry Regulatory Authority (FINRA) ,
MFW ,
Race Discrimination ,
Registration ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders ,
Swaps
In this issue:
- NASDAQ Launches Marketplace for Private Companies
- SEC Proposes Rules to Enhance Oversight of Clearing Agencies
- FINRA Proposes to Amend Rules 2210 and 2214
- CME Group Exchanges...more
In this issue:
- OTC Markets Proposes Amendments to OTCQX Rules and New Rules for US Banks
- SEC Approves Changes to FINRA BrokerCheck Disclosure Rule 8312
- SEC to Examine Never-Before Examined...more
2/24/2014
/ Bank Holding Company ,
Banking Sector ,
Broker-Dealer ,
Disclosure Requirements ,
Dodd-Frank ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Reform ,
Foreign Banks ,
Investment Adviser ,
IRS ,
Over The Counter Derivatives (OTC) ,
Securities and Exchange Commission (SEC) ,
Tax Preparers ,
Tax Returns