Top 5 Regulatory Alerts – March 2014

Here are our Top 5 Regulatory Alerts for March 2014, ranked by
significance.  We have also included the Top 5 most read Alerts (other
than Best of the Web and Top 5).

Top 5 Regulatory Alerts – March 2014

1. SEC
   Official Targets Dual Registrants (3/19/14)
2. Cost
   of Compliance Increasing with Regulatory Focus on Culture (3/26/14)
3. Large
   Firm to Pay $25 Million for Insufficient Electronic Communication Surveillance
   (3/13/14)
4. Supreme
   Court Extends Whistleblower Protection to Mutual Fund Service Providers
   (3/5/14)
5. FINRA
   Adopts New Supervisory Rules; Guidance on Email Reviews (3/24/14)

Most Read – March 2014

1. Investment
   Management Division Lists 2014 Priorities (3/28/14)
2. Cost
   of Compliance Increasing with Regulatory Focus on Culture (3/26/14)
3. FINRA
   Adopts New Supervisory Rules; Guidance on Email Reviews (3/24/14)
4. Large
   Firm to Pay $25 Million for Insufficient Electronic Communication Surveillance
   (3/13/14)
5. SEC
   Official Targets Dual Registrants (3/19/14)