Broker- Dealer Law Corner

Broker- Dealer Law Corner

Tag Archives: Reg BI

“The Opinions Offered Today Are Mine Alone And Do Not Represent The Commission” — A Summary Of Recent Remarks From SEC And CFTC Officials

Posted in CFTC, SEC
Selflessly, Blaine Doyle recently attended a presentation here in Chicago by the SEC and CFTC, so you didn’t have to do it yourself.  Here is his recount of the highlights. – Alan Anyone who has sat through a talk by financial regulators is undoubtedly familiar with the refrain from the individuals that they do not… Continue Reading
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