Harbinger’s Former Chief Operating Officer Agrees to Settle Charges for Assisting Hedge Fund Scheme
The Securities and Exchange Commission today announced that the former chief operating...
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Regulation & Legislation
Foundation, endowment officials add overseas conflicts to growth concerns
New CIO chosen for American University in Cairo endowment
University of California deputy CIO is retiring
Disconnect between company values, regulations is risky, foreign firms in U.S. vulnerable - NY Fed's Baxter
U.S. regulators looking into UBS, Deutsche Bank speed trading operations
SEC waives 'bad actor' disqualification despite adviser's flaws in best execution, disclosure
FINRA Regulatory Notice 14-12 SEC Financial Responsibility Rules
FINRA Regulatory Notice 14-08 FINRA BrokerCheck
CBOE Regulatory Circular RG 14-043
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