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Top 5 Regulatory Alerts – June 2017

Here are our Top 5 Regulatory Alerts for June 2017, 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 – June 2017

  1. SEC CHAIRMAN RE-COMMITS TO EXAMINATIONS AND ENFORCEMENT (6/28/17)
  2. SUPREME COURT LIMITS SEC DISGORGEMENT (6/6/17)
  3. CFP BOARD PROPOSES FIDUCIARY STANDARD (6/21/17)
  4. LACK OF COMPLIANCE INFRASTRUCTURE COSTS PRIVATE EQUITY FIRM AND PRINCIPALS (6/30/17)
  5. CLEARING BROKER CHARGED WITH FAILING TO FILE SARS (6/7/17)

 

Most Read – June 2017

  1. FORMER CCO FINED AND BARRED FOR LIFE FOR CIRCUMVENTING SEC ORDER (6/9/17)
  2. INVESTMENT ADVISER SENTENCED TO 2 YEARS IN PRISON FOR CHERRY-PICKING TRADES (6/26/17)
  3. SEC CHAIRMAN RE-COMMITS TO EXAMINATIONS AND ENFORCEMENT (6/28/17)
  4. SEC CHAIRMAN COMMENCES CONSIDERATION OF UNIFORM FIDUCIARY RULE (6/2/17)
  5. FORM ADV FAQS IMPACT CROSS-BORDER INVESTMENT MANAGERS (6/15/17)

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