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Searching Content indexed under Compliance by Seth Davis ordered by Published Date Descending.
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WilmerHale Attorneys Analyze OCIE Risk Alert on Cash Solicitation Rule
WilmerHale Attorneys Analyze OCIE Risk Alert on Cash Solicitation Rule.
United States
5 Feb 2019
2
Form SHC Deadline Approaching For Investment Advisers And Other Reporters
Investment advisers should take note that they may be required to file Treasury International Capital Benchmark (TIC) Form SHC by Friday, March 3, 2017.
United States
1 Mar 2017
3
Dodd-Frank Implementation Update: Key Differences Between The CFTC And SEC Final Business Conduct Standards And Related Cross-Border Requirements
This may complicate a firm's decision-making on whether to integrate its SBSD into its already registered SD.
United States
26 Sep 2016
4
Key Differences Between the CFTC and SEC Final Business Conduct Standards and Related Cross-Border Requirements
In April, the Securities and Exchange Commission (SEC) adopted its final business conduct rules for security-based swap dealers. The Commodity Futures Trading Commission (CFTC) adopted parallel rules for swap dealers in 2012.
United States
26 May 2016
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