Securities

SEC Examining the Supervisory Practices of SEC-Registered Investment Advisers’ Branch Offices

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WSJ: Election Marks Crossroads for SEC

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Forbes Op/ed: SEC Must End Mutual Fund Paper Chase

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Business Insider: There’s a New ‘Hot-Button’ Issue on Wall Street, and Battle Lines are Being Drawn

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WSJ: Ex-SEC Official Picked to Monitor Deutsche Bank’s Derivatives Overhaul

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Securities

Keynote Address: Broker/Dealer Regulation and Enforcement 2016

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Ignites: Slim Chances for Quick Revival of SEC’s Default E-Delivery

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Inside America’s Boardrooms: Former SEC Commissioner Evaluates the Board Governance Landscape

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“A Day in the Life” of an SEC Commissioner

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Kurtosys blog: Dan Gallagher on DOL Fiduciary Rule and Market Developments

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Securities

SEC Customer Protection Rule Self-Reporting Deadline Nov 1; Sweep Underway

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Securities

The SEC Trajectory Post Dodd-Frank

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Investment News: New Finra CEO Cook Will Feel Heat From Both Sides of the Political Aisle

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Securities

Global Regulatory Standardization: A Critical View

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Other

U.S. House Financial Services Subcommittee Testimony by Dan Gallagher

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Law 360: Ex-SEC Member Backs Cost-Benefit Analysis At Agency

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Reuters Column: Roots of the Next Financial Crisis: The Last One’s Veterans Give Views

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WSJ letter to the editor: Disclosure Is Just a Means to a Political End

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Other | Testimony

U.S. House Financial Services Committee Testimony by Paul Atkins

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Lucas Moskowitz Joins Patomak Global Partners

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Wall Street Journal: The Most Thankless Job on Wall Street Gets a New Worry

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Law 360: SEC’s Stanford Case A Chance To Clarify Compliance Duties

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Wall Street Journal opinion piece: Equities Policy Needs Surgery, Not Band-Aids

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Chief Compliance Officers Prepare for Closer SEC scrutiny

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