Here are our Top 5 Regulatory Alerts for February 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 – February 2017
- SEC PUBLISHES LIST OF MOST CITED EXAM DEFICIENCIES (2/9/17)
- SEC ISSUES ROBO GUIDANCE ON DISCLOSURES, SUITABILITY, AND COMPLIANCE (2/24/17)
- SEC CHAIRMAN ATTACKS “ACCREDITED INVESTOR” CONCEPT (2/28/17)
- SEC CHARGES CCO WITH AML FAILURES (2/1/17)
- GENERAL COUNSEL AWARDED $7.9 MILLION FOR WRONGFUL WHISTLEBLOWER TERMINATION (2/13/17)
Most Read – February 2017