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Results: 1-10 of 9,722

EDGAR manual updates
  • Winston & Strawn LLP
  • USA
  • September 30 2013

On September 25th, the SEC adopted revisions to the Electronic Data Gathering, Analysis, and Retrieval System Filer Manual and related rules to


CFPB interim final rule on temporary cease-and-desist orders
  • Winston & Strawn LLP
  • USA
  • September 30 2013

On September 26th, the Consumer Financial Protection Bureau published an interim final rule governing the issuance of temporary cease-and-desist


Operations Professionals
  • Winston & Strawn LLP
  • USA
  • September 30 2013

On September 20th, the Financial Industry Regulatory Authority reminded members that under FINRA Rule 1250, individuals registered as Operations


Full deployment
  • Winston & Strawn LLP
  • USA
  • September 30 2013

On September 26th, SEC Chairman Mary Jo White gave a speech entitled "Deploying the Full Enforcement Arsenal" in which she explains when the


Customer arbitration rules
  • Winston & Strawn LLP
  • USA
  • September 30 2013

On September 23rd, the Financial Industry Regulatory Authority announced SEC approval of FINRA's proposed amendments to FINRA Rule 12403 of the Code


Clarification of reporting requirements for certain hybrid securities proposed
  • Winston & Strawn LLP
  • USA
  • September 30 2013

On September 24th, the SEC provided notice of the Financial Industry Regulatory Authority's filing of a proposed rule change that would clarify the


Regulators issue joint guidance on reporting financial abuse of seniors
  • Winston & Strawn LLP
  • USA
  • September 30 2013

On September 24th, the Federal Reserve Board, Consumer Financial Protection Bureau, Federal Deposit Insurance Corporation, Federal Trade Commission


CFTC closes investigation of silver markets
  • Winston & Strawn LLP
  • USA
  • September 30 2013

On September 25th, the CFTC's Enforcement Division announced it has closed its investigation into the possible manipulation of the silver market


Longer period designated to consider emergency powers proposal.
  • Winston & Strawn LLP
  • USA
  • September 30 2013

On September 20th, the SEC designated November 6, 2013 as the date by which it will approve, disapprove, or institute disapproval proceedings


Municipal advisor registration
  • Winston & Strawn LLP
  • USA
  • September 30 2013

On September 20th, the SEC published the adopting release and text of its new final rules for the permanent registration of municipal advisors. The