Top 5 Regulatory Alerts – November 2014

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

Top 5 Regulatory Alerts – November 2014

1. FINRA Proposes Pay-to-Play Rules Similar to SEC Rules (11/17/14)
2. SEC Adopts Regulation SCI for Trading Systems (11/20/14)
3. Closed-End Fund Must Include Shareholder’s Self-Tender Resolution (11/12/14)
4. FINRA Survey Shows Investors Want More Regulation (11/11/14)
5. FINRA Proposes Adding Bond Pricing Reference Data on Confirms (11/19/14)

Most Read – November 2014

1. Feeder Funds Must Attach Master Fund Financials (11/3/14)
2. SEC Considering an Overhaul to Form N-SAR (11/25/14)
3. Ten Firms Charged with Violating 8-K Rules (11/6/14)
4. SEC’s 2015 Plan Includes Adviser and Fund Risk Management Practices (11/18/14)
5. SEC Adopts Regulation SCI for Trading Systems (11/20/14)