SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants August 17, 2015
FINRA’s National Adjudicatory Council revises Sanction Guidelines for misrepresentations and suitability rule violations May 15, 2015
US Labor Department seeks public comment on conflict of interest and fiduciary proposal April 21, 2015
SEC Chair White Provides Views on Disqualifications and Waivers under US Securities Laws March 13, 2015
