Quarterly U.S. Regulatory Roundup – Third Quarter 2019

Duff & Phelps is the global advisor that protects, restores and maximizes value for clients in the areas of valuation, corporate finance, investigations, disputes, cyber security, compliance and regulatory matters, and other governance-related issues. We work with clients across diverse sectors, mitigating risk to assets, operations and people. With Kroll, a division of Duff & Phelps since 2018, our firm has nearly 3,500 professionals in 28 countriesaround the world.

Explore

Quarterly U.S. Regulatory Roundup.

United States Finance and Banking

Authors

To print this article, all you need is to be registered or login on Mondaq.com.

In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines updates, enforcement and judicial actions from the SEC, FINRA, NFA and CFTC from the third quarter of 2019.

Highlights Include:

SEC announcements
FINRA advice
NFA amendments
CFTC actions
Enforcement cases

Quarterly U.S. Regulatory Roundup – Third Quarter 2019.pdf (4.8) MB

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

We operate a free-to-view policy, asking only that you register in order to read all of our content. Please login or register to view the rest of this article.

Authors

Peter Wilson

Gisela Moreno

Your Author LinkedIn Connections

See More Popular Content From

Quarterly U.S. Regulatory Roundup – Third Quarter 2019

Contributor

Finance and Banking

Contributor

United States