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Top 5 Regulatory Alerts – July 2015

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)
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