Issues

EMIR: an overview of the new framework

Tim Aron; Nathaniel Lalone; Carolyn Jackson
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Pay to play: recent SEC actions highlight importance of compliance controls

Edward Pittman; Brenden Carroll; Sean Murphy
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Portfolio margining of cleared credit default swaps

Michael M. Philipp; Ignacio A. Sandoval
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Summary of selected sessions from “The SEC Speaks in 2013”

Brian L. Rubin; Carmen L. Brun; Jaliya Stewart Faulkner; Michael K. Freedman; Kurt Lentz; Jae C. Yoon
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The NYSE and NASDAQ issue proposed rules to implement the SEC compensation committee independence and advisor rules

Doreen Lilienfeld; John Cannon; Amy Gitlitz Bennett; George Spera
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SEC lifts moratorium on actively managed ETFs' use of derivatives; moratorium continues for leveraged ETFs

Kurt Decko; Stacy Fuller
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The proposed EU Financial Transaction Tax

Neil Macleod; Robert Gaut
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The extra‐territorial reach of the broker‐dealer registration requirements under the US Securities Exchange Act of 1934: the staff of the Securities and Exchange Commission addresses frequently asked questions regarding Rule 15a‐6 and foreign broker‐dealers

Edward Eisert; Tony Katz; Giovanni Carotenuto; Melanie F. Ball
View articletitled, The extra‐territorial reach of the broker‐dealer registration requirements under the US Securities Exchange Act of 1934: the staff of the Securities and Exchange Commission addresses frequently asked questions regarding Rule 15a‐6 and foreign broker‐dealers
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Selected FINRA notices and disciplinary actions, September 2012‐April 2013

Henry A. Davis
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Editor’s letter

Editor’s letter

Henry A. Davis
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