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Morgan Lewis
Steven W. Stone
Steven W. Stone
Morgan Lewis
SEC Proposes Rules Of The Road For Brokers Giving Advice To Retail Investors
17 May 2018 | United States
SEC Proposes Standards Of Conduct For Broker-Dealers, Investment Advisers
24 Apr 2018 | United States
SEC Tackles MiFID II Research Issues
10 Nov 2017 | United States
FINRA's Proposed Rules On Gifts, Gratuities, And Non-Cash Compensation
21 Sep 2016 | United States
Broker-Lite: FINRA Built It, But Will They Come?
07 Sep 2016 | United States
SEC Proposes Business Continuity And Transition Plan Requirements For Investment Advisers; Staff Issues Guidance For Registered Funds
08 Aug 2016 | United States
CFTC Staff Exempts Certain Commodity Trading Advisors From Form CTA-PR Reporting
29 Jul 2015 | United States
New Best Execution Requirement For Municipal Securities Transactions
26 Jan 2015 | United States
FINRA And MSRB Seek Disclosure Of Fixed-Income Price Differentials
19 Dec 2014 | United States
Challenges In Requiring High-Frequency Traders To Register As Dealers
16 Jun 2014 | United States
SEC Issues FAQs On Financial Responsibility Rules
12 Mar 2014 | United States
SEC Issues Relief From Certain Financial Responsibility Rule Requirements
03 Mar 2014 | United States
SEC Provides No-Action Relief For M&A Brokers
07 Feb 2014 | United States
SEC Adopts Large Trader Reporting System
24 Aug 2011 | United States
SEC Staff Issues Guidance on "Pay-to-Play" Rule
05 Apr 2011 | United States
Solicitors as Municipal Advisors Subject to Registration and New Fiduciary Standards
04 Oct 2010 | United States
SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure
07 Sep 2010 | United States
SEC Adopts Pay-to-Play Rule Under Investment Advisers Act
15 Jul 2010 | United States
SEC’s Large Trader Reporting System Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers
19 May 2010 | United States
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United States

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