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Top 5 Regulatory Alerts – March 2015

Top 5 Regulatory Alerts – March 2015

Here are our Top 5 Regulatory Alerts for March 2015, 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 – March 2015

  1. SEC Chair Targets Industry Executives as Ultimate Deterrence (3/13/15)
  2. SEC Proposes Registration for Proprietary Trading Firms (3/27/15)
  3. Private Fund Sponsor Failed to Disclose Inter-Fund Loans (3/20/15)
  4. Large BD Failed to Submit FA Training Materials to Compliance (3/24/15)
  5. SEC Accuses BD Auditor of Improper Professional Conduct (3/11/15)

 

Most Read – March 2015

  1. SEC Accuses BD Auditor of Improper Professional Conduct (3/11/15)
  2. SEC Chair Targets Industry Executives as Ultimate Deterrence (3/13/15)
  3. Large BD Failed to Submit FA Training Materials to Compliance (3/24/15)
  4. Insolvent Adviser Barred from Industry But Pays No Penalty (3/23/15)
  5. SEC Enforcement Lawyers “Competitively Searching” for Financial Reporting Cases (3/9/15)
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