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Top 5 Regulatory Alerts – October 2014

Top 5 Regulatory Alerts – October 2014

Here are our Top 5 Regulatory Alerts for October 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 – October 2014

  1. SEC Filed Record Number of Enforcement Cases in 2014 (10/17/14)
  2. Compliance Officer Charged with Altering Documents (10/16/14)
  3. HFT Firm Pays $1 Million Fine for Marking the Close (10/20/14)
  4. Champ Warns Registered Alts to Upgrade Compliance (10/2/14)
  5. Firms Claiming GIPS Compliance Must File Notice with CFA Institute (10/24/14)

 

Most Read – October 2014

  1. WSJ Reports that SEC Has Won Every ALJ Case in Past 12 Months (10/27/14)
  2. SEC Bars Auditor for Failing Rotation Requirement (10/28/14)
  3. BD Allowed Reps to Retain Emails on Personal Computers (10/22/14)
  4. Private Fund Sponsor Failed to Deliver Financials within 120 Days (Again) (10/30/14)
  5. SEC Staff Ends Mixed and Shared Funding Orders for Insurance Products(10/29/14)
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