Top 5 Regulatory Alerts – July 2015

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

1. Bipartisan Bill Would Multiply SEC Penalties (7/21/15)
2. SEC Commissioner Says that 10% of Enforcement Actions Have Targeted CCOs (7/9/15)
3. Fund Administrator Charged for Weak Compliance Procedures (7/2/15)
4. SEC Uses Broker-Dealer Data to Uncover Cherry-Picking Scheme (7/8/15)
5. Adviser Failed to Fully Disclose Revenue Sharing (7/27/15)

Most Read – July 2015

1. SEC Commissioner Says that 10% of Enforcement Actions Have Targeted CCOs (7/9/15)
2. Fund Administrator Charged for Weak Compliance Procedures (7/2/15)
3. FINRA Orders 3 Firms to Pay $30 Million for Not Waiving Mutual Fund Sales Loads(7/7/15)
4. Adviser Failed to Fully Disclose Revenue Sharing (7/27/15)
5. SEC Uses Broker-Dealer Data to Uncover Cherry-Picking Scheme (7/8/15)