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Our Take Blog
October 23, 2009
New York Proposes Legislation Imposing Criminal Penalties on Use of Intermediaries for Pension Funds
The New York State Legislature has introduced bipartisan legislation that would codify Attorney General Cuomo’s anti-pay-to-play…
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October 22, 2009
New SEC Rules Will Significantly Limit Dark Pools and ATSs
The SEC voted to issue proposals that would significantly curtail the effectiveness of dark pools, private…
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October 21, 2009
FINRA Tightens AML Testing Requirements
As part of its rule consolidation process, FINRA eliminated the AML testing exception that had allowed,…
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October 20, 2009
Stock Fraud Scheme Stole Registered Firm’s Corporate Identity
A federal court issued a default judgment against a firm that stole an investment adviser’s corporate…
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October 19, 2009
SEC and CFTC Harmonization Report Recommends More Regulation and Cooperation
The SEC and the CFTC issued a report on regulatory harmonization, as directed by the Obama…
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