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Searching Content indexed under Finance and Banking by Bob Xiong ordered by Published Date Descending.
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The Financial Choice Act: Implications For The U.S. Securities Legal Framework
On September 13, 2016, the House Financial Services Committee of the United States House of Representatives (the "FSC") formally released H.R. 5983, the "Financial CHOICE Act".
United States
20 Sep 2016
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Are Your Customer Accounts In Order? SEC Announces Sweep Of Broker-Dealers And Implementation Of The Customer Protection Rule Initiative
The SEC announced that it would begin a coordinated effort across divisions to identify potential violations by broker-dealers of Rule 15c3-3 under the Securities Exchange Act of 1934, as amended.
United States
1 Sep 2016
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