February 05, 2016
On January 5, FINRA released its 2016 Regulatory and Examinations Priorities Letter highlighting three broad areas of focus for the upcoming year. Read More >
Key words: compliance, FINRA
February 05, 2016
The wireless industry scored a big victory in 2012 with Congress’ adoption of Section 6409 of the Spectrum Act, a portion of the Federal Middle Class Tax Relief and Job Creation Act of 2012 (which we will refer to here as Section 6409, mostly to avoid repeating its rather large ... Read More >
February 05, 2016
January 1, 2015 marked a dreadful day for certain borrowers and banks as new regulatory capital rules, known as Basel III, went into effect. Read More >
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