Category Archives: Current Affairs

The SEC is Going to Update Transfer Agent Rules (Finally)

30
Dec
SEC Charges Martin Shkreli With Fraud

This story broke about Martin Shkreli in the New York Times recently.  If you remember, Shkreli [...]

18
Dec
SEC Charges Martin Shkreli With Fraud

This story broke about Martin Shkreli in the New York Times recently.  If you remember, Shkreli [...]

18
Dec
SEC Charges Martin Shkreli With Fraud

This story broke about Martin Shkreli in the New York Times recently.  If you remember, Shkreli [...]

18
Dec
SEC Commissioner Speaks about Cybersecurity Protocol

Being a Responsible Steward: Ensuring that the SEC Implements Effective Cybersecurity Protocols for its Data [...]

17
Dec
SEC Commissioner Speaks about Cybersecurity Protocol

Being a Responsible Steward: Ensuring that the SEC Implements Effective Cybersecurity Protocols for its Data [...]

17
Dec
SEC Commissioner Speaks about Cybersecurity Protocol

Being a Responsible Steward: Ensuring that the SEC Implements Effective Cybersecurity Protocols for its Data [...]

17
Dec
FINRA Executive Discusses the National Market System

Remarks From Baruch College’s Financial Markets Conference Thomas Gira Executive Vice President, Market Regulation New [...]

03
Dec
FINRA Executive Discusses the National Market System

Remarks From Baruch College’s Financial Markets Conference Thomas Gira Executive Vice President, Market Regulation New [...]

03
Dec
FINRA Executive Discusses the National Market System

Remarks From Baruch College’s Financial Markets Conference Thomas Gira Executive Vice President, Market Regulation New [...]

03
Dec