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FINRA Proposes Elder Investor Rules

Bates Research  |  09-25-15

FINRA Proposes Elder Investor Rules

FINRA has approved a new rulemaking item aimed at providing more protections for elder investors.

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Bates Group LLC Launches RegTelligenceā„¢

Bates News  |  09-24-15

Bates Group LLC Launches RegTelligenceā„¢

Bates Group LLC Launches RegTelligence™ - The number one source for intelligence on financial industry regulator behavior.

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SEC Clawback Rule

Bates Research  |  09-18-15

SEC Clawback Rule

The SEC proposed another rule this summer, satisfying the last of their additional duties under the Dodd-Frank Act.

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U.S. Economic Growth, A Tale of Two Cities?

Bates Research  |  09-04-15

U.S. Economic Growth, A Tale of Two Cities?

On Wednesday, September 2, the Commerce Department released quarterly GDP data by state for 2005-2014. Interestingly, the data portrays the U.S. economy as that of A Tale of Two Cities, with only 16 of the 50 states outperforming the U.S. economy as a whole.

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China Cuts Interest Rates

Bates Research  |  08-28-15

China Cuts Interest Rates

News from China continues to dominate financial headlines and to upend the stability of domestic markets here in the U.S.

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FINRA Examines Conflicts of Interest

Bates Research  |  08-21-15

FINRA Examines Conflicts of Interest

This week, FINRA sent out a targeted exam letter to certain firms about their compensation practices.

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China Devalues Yuan

Bates Research  |  08-14-15

China Devalues Yuan

On Tuesday of this week, China began systematically lowering the value of the Yuan in relation to the U.S. Dollar.

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SEC Rules on CEO Pay Disclosure

Bates Research  |  08-07-15

SEC Rules on CEO Pay Disclosure

This Wednesday, the SEC approved a rule requiring that public companies disclose the ratio of CEO pay to median employee pay.

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Volatility Returns to China

Bates Research  |  07-31-15

Volatility Returns to China

After a period of relative stability, Chinese equity markets have seen a pickup in volatility again this past week.

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Closing Auction Contingency Plan

Bates Research  |  07-24-15

Closing Auction Contingency Plan

We blogged two weeks ago about the NYSE shutdown that halted trading for four hours on Wednesday, July 8th, if the NYSE had been unable to resume trading that day, an important function would have been missed: the closing auction of the day.

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Page 30 of 38 pages.

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