Today, OMB published the bi-annual Unified Regulatory Agenda. This important transparency tool reflects agency rulemaking updates and plans for the immediate future. The updates are broad and encompass all areas
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Investment
SEC and FINRA Continue to Root Out Bad Brokers
By William Mack & Dale Rose Goldstein on
Posted in Investment, Securities Law
On Thursday, July 27, regulators and industry professionals gathered in Washington, D.C. to discuss the current regulatory environment, cybersecurity, and other hot topics at the SEC and FINRA’s 2017 National…
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