Alex Oh Resigns From SEC; Melissa Hodgman Named Acting Director of Enforcement
Gary Gensler Names Initial Senior Staff Members
Alex Oh Named SEC Director of Enforcement
FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts
FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements
FINRA Files With the SEC to Extend Time to Announce the Implementation Schedule for FINRA’s Corporate Bond New Issue Reference Data Service
FINRA Publishes Answer to Frequently Asked Questions Under Rule 4521(d) on Margin Balance Reporting
SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Reopens Comment Period for Notice and Proposed Substituted Compliance Order for France
Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers
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