January 27, 2017

New HSR Filing Thresholds (2017)

Continue reading...

January 23, 2017

Responding to New Derivative Documentation Requests from Dealers

Continue reading...

January 20, 2017

Annual Regulatory Reminders (2017)

Continue reading...

January 18, 2017

OCIE Multi-Branch Adviser Initiative Risk Alert

Continue reading...

January 17, 2017

OCIE Releases Its 2017 Examination Priorities

Continue reading...

January 12, 2017

TIC Form BC Filing Deadline Approaching

Continue reading...

December 16, 2016

Compliance Flash – December 2016

Continue reading...

December 8, 2016

CFTC Annual Affirmations

Continue reading...

December 7, 2016

U.S. Supreme Court Sides with Prosecutors and Partially Overrules Second Circuit Standard That Made It Harder to Prosecute Insider Trading

Continue reading...

November 21, 2016

FDIC Adopts Final Rule on Recordkeeping for Timely Deposit Insurance Determination

Continue reading...

October 21, 2016

SEC Adopts Liquidity Risk Management Program Requirements

Continue reading...

October 13, 2016

SEC Proposes Rule Amendment to Expedite Securities Transaction Settlement Process

Continue reading...

October 5, 2016

Compliance Flash – October 2016

Continue reading...

September 29, 2016

New IRS Regulations Would Require RIC Commodity Subsidiaries To Distribute Income

Continue reading...

September 26, 2016

Two Firms Charged with Compliance Failures in Wrap Fee Programs

Continue reading...

Menu