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United States: The Securities and Exchange Commission New Year s resolution? Market restructuring for all!

United States: The Securities and Exchange Commission New Year s resolution? Market restructuring for all!
globalcompliancenews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from globalcompliancenews.com Daily Mail and Mail on Sunday newspapers.

United statesAuthorjenniferl klassAuthoramyj greerRaymond jamesGavin meyersJenniferl klassAuthorgavin meyersExchange commissionOffice of fraud detectionEnforcement practice groupFirm gavinSecurities exchangeFinancial industry regulatory authorityFirm global financial services regulatorySecurities exchange actClient alerts

United States: Preparing for regulatory examinations evaluating the digitization of trading and investment advice

United States: Preparing for regulatory examinations evaluating the digitization of trading and investment advice
globalcompliancenews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from globalcompliancenews.com Daily Mail and Mail on Sunday newspapers.

United statesRaymond jamesGavin meyersAuthorgavin meyersExchange commissionOffice of fraud detectionEnforcement practice groupFirm gavinFinancial industry regulatory authorityBaker mckenzieFinancial regulationAssistant general counselSenior counselGeneral counselRegulation bestFraud detection

United States: SEC requests comment on broker-dealer and investment adviser digital engagement practices

United States: SEC requests comment on broker-dealer and investment adviser digital engagement practices
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United statesAuthoramy greerJennifer connorsAuthorjennifer klassRaymond jamesAuthorgavin meyersA valerie mirkoAuthorjennifer connorsValerie mirkoGavin meyersJenniferl klassMerrill lynchDc bar corporationGeorge washington university law schoolOffice of fraud detectionOppenheimer co inc