Michael Rivera

Leveling The Playing Field Or Protecting Its Turf?

Leveling The Playing Field Or Protecting Its Turf? SEC Proposes Amendments To Rules Governing Administrative Proceedings

Second Circuit Declines to Review Landmark Newman Insider Trading Decision

SEC And FINRA Cybersecurity Reports Highlight Cybersecurity As A New Compliance Priority

SEC Eyes And Ears Are Upon Financial Firms: OCIE Announces Examination Priorities For 2015

FINRA 2015 Priorities Letter

FINRA Ends 2014 With An Enforcement Bang

FINRA Targets Broker-Dealer Order Routing And Execution Quality Of Customer Orders

Credit Unions Beware – The TARP Watchdog Is Ready To Pounce

SEC To Scrutinize Never-Examined Investment Advisers