FINRA implements new rules to improve arbitration process
When the National Association of Securities Dealers (NASD) and NYSE Regulation merged into the Financial Industry Regulatory...
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Regulatory & compliance archive
Disappearing act
Law firms have long been seen as a breed apart as employers, seemingly immune to market forces. Their model has been to hire...
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Opposition playbook
Few federal agencies have come in for as much criticism in recent months as the SEC. The agency’s Division of Enforcement, in...
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Your escheating heart
As state and federal budgets feel the impact of the recession, governments are desperately seeking any extra income stream and...
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Where have all the lawsuits gone?
The bubble has burst,’ pronounces David Robinson, senior manager of key accounts for CT Summation, a San Francisco-based developer...
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Naming and shaming
With angry taxpayers baying for blood and politicians eager to pass the buck, ritualistic humiliation of banking executives by...
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Settlement trends
Under heightened scrutiny, but with its staff empowered by reforms mandated by new chairman Mary Schapiro, the SEC reached 182 new...
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Unclear transparency
Like many sensible ideas, the EU Transparency Directive (TD) has an admirable goal. At its heart is the principle that all...
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Greetings from Delaware
Residents of Delaware proudly proclaim it to be the First State, an official motto backed up by some very notable firsts: Delaware...
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Delaware rocks the officers' boat
Did the Delaware Supreme Court just throw corporate officers and directors under the bus and, in the process, launch an attack on...
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