News: SEC Names Andrew Bowden As Director Of National Exam Program

22 days ago - News Articles

The Securities and Exchange Commission today announced that Andrew J. Bowden has been named Director of the agency's Office of Compliance Inspections and Examinations (OCIE) a...

News: SEC Names Andrew Bowden as Director of National Exam Program

22 days ago - SEC.gov Updates: Press Releases

FOR IMMEDIATE RELEASE2013-81 Washington, D.C., May 2, 2013 — The Securities and Exchange Commission today announced that Andrew J. Bowden has been named Director of ...

News: Jonathan S. Sokobin Named FINRA's Chief Economist

24 days ago - News Articles

The Financial Industry Regulatory Authority (FINRA) announced today that Jonathan S. Sokobin, currently Acting Deputy Director, Research and Analysis in the Office of Financia...

News: Professionalism and investment advisers

28 days ago - Emerald | Journal of Investment Compliance | Table of Contents

AbstractPurpose – The purpose of this paper is to introduce the concept of professionalism into the current discussion of the proper scope of regulation of investment advise...

News: Professionalism and investment advisers

28 days ago - Emerald | Journal of Investment Compliance | Table of Contents

AbstractPurpose – The purpose of this paper is to introduce the concept of professionalism into the current discussion of the proper scope of regulation of investment advise...

News: Doing The Right Thing: Compliance That Works For Investors By SEC Commissioner Luis A. Aguilar - The Regulatory Compliance Association - Regulation, Operations & Compliance (ROC) 2013™, New York, NY, April 18, 2013

36 days ago - News Articles

Good morning. Thank you for that kind introduction. Before I begin, let me issue the standard disclaimer that the views I express today are my own, and do not necessarily refl...

Blog: SEC’s Social Media Guidance Is Changing, Here's What You Need to Know

Eze Castle Integration 52 days ago

News: Remarks By Richard G. Ketchum, FINRA’s Chairman And Chief Executive Officer - Consumer Federation Of America Consumer Assembly

71 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...

News: Professionalism and Investment Advisers

74 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 -...

News: Professionalism and Investment Advisers

74 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 -...