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Summary of selected sessions from "The SEC Speaks in 2013"

By Rubin Brian L.,Brun Carmen L.,Faulkner Jaliya Stewart,Freedman Michael K.,Lentz Kurt,Yoon Jae C. in (2013)

Emerald Group Publishing Ltd

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Pay to play: recent SEC actions highlight importance of compliance controls

By Pittman Edward,Carroll Brenden,Murphy Sean in (2013)

Emerald Group Publishing Ltd

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SEC lifts moratorium on actively managed ETFs' use of derivatives; moratorium continues for leveraged ETFs

By Decko Kurt,Fuller Stacy in (2013)

Emerald Group Publishing Ltd

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Portfolio margining of cleared credit default swaps

By Philipp Michael M.,Sandoval Ignacio A. in (2013)

Emerald Group Publishing Ltd

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The NYSE and NASDAQ issue proposed rules to implement the SEC compensation committee independence and advisor rules

By Lilienfeld Doreen,Cannon John,Bennett Amy Gitlitz,Spera George in (2013)

Emerald Group Publishing Ltd

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The extra-territorial reach of the broker-dealer registration requirements under the US Securities Exchange Act of 1934: the staff of the Securities and Exchange Commission addresses frequently asked questions regarding Rule 15a-6 and foreign broker-dealers

By Eisert Edward,Katz Tony,Carotenuto Giovanni,Ball Melanie F. in (2013)

Emerald Group Publishing Ltd

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EMIR: an overview of the new framework

By Aron Tim,Lalone Nathaniel,Jackson Carolyn in (2013)

Emerald Group Publishing Ltd

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The proposed EU Financial Transaction Tax

By Macleod Neil,Gaut Robert in (2013)

Emerald Group Publishing Ltd

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Selected FINRA notices and disciplinary actions, September 2012-April 2013

By Davis Henry A. in (2013)

Emerald Group Publishing Ltd

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