'financial industry regulatory authority' related content
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71 days ago - News Articles
The Securities and Exchange Commission today announced that Stamford, Conn.-based hedge fund advisory firm CR Intrinsic Investors has agreed to pay more than $600 million to s...
71 days ago - News Articles
The Securities and Exchange Commission today published a guidance update from its staff to clarify the obligations of mutual funds and other investment companies to seek rev...
71 days ago - News Articles
The Securities and Exchange Commission today charged a group of Canadian stock promoters, two San Diego attorneys, a Bahamas-based broker-dealer, and other participants in a...
71 days ago - SEC.gov Updates: Press Releases
FOR IMMEDIATE RELEASE 2013-41 Washington, D.C., March 15, 2013 — The Securities and Exchange Commission today announced that Stamford, Conn.-based hedge fund advisory fi...
71 days ago - SEC.gov Updates: Press Releases
FOR IMMEDIATE RELEASE 2013-40 Washington, D.C., March 15, 2013 — The Securities and Exchange Commission today published a guidance update from its staff to clarify the o...
71 days ago - SEC.gov Updates: Press Releases
FOR IMMEDIATE RELEASE 2013-39 Washington, D.C., March 15, 2013 — The Securities and Exchange Commission today charged a group of Canadian stock promoters, two San Diego ...
72 days ago - News Articles
Introduction Thank you, Betsy [Costle], for that introduction, and thanks to Barbara [Roper], who wasn't able to join us today, and Steve[Brobeck] for inviting me to jo...
75 days ago - Emerald | Journal of Investment Compliance | Table of Contents
AbstractPurpose - The purpose of the article is to inform the various securities market participants about new Rule 5123 of the Financial Industry Regulatory Authority, Inc. (...
75 days ago - Emerald | Journal of Investment Compliance | Table of Contents
AbstractPurpose - To introduce the concept of Professionalism into the current discussion of the proper scope of regulation of investment advisersDesign/methodology/approach -...
75 days ago - Emerald | Journal of Investment Compliance | Table of Contents
AbstractPurpose - The purpose of the article is to inform the various securities market participants about new Rule 5123 of the Financial Industry Regulatory Authority, Inc. (...