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News And Publications - Client Alerts, Page 2

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Jun
2011

June 2011 - CFTC Proposes New COI Rules

Published: June 1, 2011 Listed In: Client Alerts

The Commodity Futures Trading Commission recently proposed new rules to implement statutory provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

01
Apr
2011

April 2011 - Brokers and Advisors Beware

Published: April 1, 2011 Listed In: Client Alerts

In the last two months, the SEC and FINRA have, for the first time each, taken Enforcement action - including against a broker-dealer's chief compliance officer.