Issues

Swap agreement safe harbors at risk in latest Lehman dispute

Craig R Enochs; James Pappenfus; Andrea Pincus; Paul Turner
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SEC issues cybersecurity exam observations

Richard Kuhlman; Jason Kempf
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Heightened supervision of branch offices

Daniel A. Nathan; Lauren Navarro; Kevin Matta
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SEC Muni enforcement chief offers her views on Municipalities Continuing Disclosure Cooperation initiative (MCDC)

M. Norman Goldberger; John C. Grugan; Bradley D. Patterson; William C. Rhodes; Tesia N. Stanley
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SEC asset management unit’s enforcement priorities for 2015 – conflicts of interest

Perrie Michael Weiner; Patrick Hunnius; Sean R. Crain
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FINRA 2015 regulatory and examinations priorities

Matthew T. Wirig
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Editor’s letter

Henry A Davis
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FINRA publishes its 2015 “Report on Cybersecurity Practices”

Richard Kuhlman; Jason Kempf
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SEC IM staff issues guidance update on mixed and shared funding

Keith T. Robinson; Kimberley Church
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SEC’s authority to interpret the securities laws comes under fire in criminal enforcement

Joseph Boryshansky; Michael A. Asaro; James Benjamin; Charles F. Connolly
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SEC “claws back” bonuses and stock sale profits from CFOs of public company charged with accounting fraud

Mary P Hansen; Garrett Trego
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2014 FINRA analysis: a blockbuster year for fines

Brian Rubin; Andrew M. McCormick
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SEC fines alternative mutual fund adviser for improper handling of fund assets

Michael McGrath; Pablo J. Man
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What will the “Eyes and Ears” of the SEC choose to see and hear this year? OCIE announces examination priorities for 2015

Kenneth Berman; Michael P. Harrell; Gregory Larkin
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