Top 5 Regulatory Alerts – December 2013

Here are our Top 5 Regulatory Alerts for December 2013, ranked by
significance.  We have also included the Top 5 most read Alerts (other
than Top 5 and Best of the Web).

Top 5 Regulatory Alerts – December 2013

1. BD
   Pays $150 Million to Settle Civil and Criminal Charges for Excessive
   Commissions (12/20/13)
2. Hedge
   Fund to Pay Nearly $9 Million for Weak Valuation Process (12/13/13)
3. CEO
   Did Not Understand His CCO Job (12/16/13)
4. FINRA
   Fines “Gatekeeper” Clearing Firm $1 Million for Compliance Failures
   (12/17/13)
5. Fund
   Manager Sanctioned for Email about Redemption Activity (12/24/13)

Most Read – December 2013

1. CEO
   Did Not Understand His CCO Job (12/16/13)
2. SEC
   Staff Releases “Bad Actor” Interps (12/10/13)
3. Fund
   Manager Sanctioned for Email about Redemption Activity (12/24/13)
4. FINRA
   Fines “Gatekeeper” Clearing Firm $1 Million for Compliance Failures
   (12/17/13)
5. SEC
   Trumpets New Enforcement Records (12/18/13)