Issues

2016 FINRA analysis: a record-breaking year for fines

Brian Rubin; Adam Pollet
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The SEC provides new custody rule guidance to investment advisers

Matthew T. Wirig; Kate S. Poorbaugh
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Pay to play violations: an SEC focus

Robert Van Grover
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OCIE to investment advisers: focus on these five problem areas

Brynn D. Peltz; Ilan S. Nissan; Evyn W. Rabinowitz
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What is a Regulation SHO bona-fide market maker?

Larry E. Bergmann; James P. Dombach
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New York finalizes cybersecurity regulations for financial institutions

Jonathan G. Cedarbaum; Benjamin A. Powell; D. Reed Freeman; Leah Schloss; Reed Abrahamson
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CFTC adopts amendments to position limit aggregation rules

J.P. Bruynes; Jason Daniel; Libbie Walker
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Shadow banking regime: assessment of investment funds

Lukas Prorokowski
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Debunking the $17 billion myth: the mathemagics behind the fiduciary rule

Jeffery E. Schaff; Michele L. Schaff
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