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Dovish Fed Sends Equities Higher

Bates Research  |  03-18-16

Dovish Fed Sends Equities Higher

The Federal Reserve Open Market Committee (FOMC) decided to leave interest rates unchanged at 0.25-0.50% after a two day meeting.

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Broker Barred in Senior Investor Case

Bates Research  |  03-11-16

Broker Barred in Senior Investor Case

FINRA listed "senior and vulnerable investors" as a focus in its 2016 priority letter, as we blogged about previously, and the conclusion of a recent enforcement action supports the agency's focus in this area.

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Bond Markup/Markdown Disclosure

Bates Research  |  03-04-16

Bond Markup/Markdown Disclosure

Last Friday FINRA announced that it had approved a proposal to require the disclosure of bond markups and markdowns for retail fixed income investors.

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FINRA and the Culture of Compliance

Bates Research  |  02-26-16

FINRA and the Culture of Compliance

As foreshadowed in their 2016 Priority Letter, FINRA has begun examining--in the form of inquiry letters--the idea of a "culture of compliance."

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The Long Tail of the Credit Crisis

Bates Research  |  02-19-16

The Long Tail of the Credit Crisis

In a new blog post, the Federal Reserve Bank of New York considers whether or not asset managers are vulnerable to ”run on the bank” scenarios and, more broadly, what the implications of those ”runs” might be for financial markets. The concern is that while open-end mutual funds may be holding sufficient levels of cash to meet the normal demand for daily redemptions, a sudden (or sustained) wave of redemptions may force them to liquidate holdings, perhaps at undesirable “fire sale” prices.

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Q&A with SEC Chair White

Bates Research  |  02-12-16

Q&A with SEC Chair White

This Monday's SEC Daily Digest Bulletin included a transcript of a Q&A session between SEC  Chair Mary Jo White and Steven Bochner, Chair of the Securities Regulation Institute.

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Compliance Officers Face Criminal Prosecution

Bates Research  |  02-05-16

Compliance Officers Face Criminal Prosecution

The New York Department of Financial Services, which oversees some of the largest banks in the world, may soon find itself in opposition to its normal allies: compliance officers.

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FINRA Examines Robo Advisors

Bates Research  |  01-29-16

FINRA Examines Robo Advisors

We have blogged previously about the rise of automated investing advice as a service offering, and about the joint release that FINRA and the SEC put out regarding how to use these automated tools. 

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Which Regulator Packed the Most Fines in 2015? RegTelligenceā„¢ knows. Do you?

 |  01-27-16

Which Regulator Packed the Most Fines in 2015? RegTelligenceā„¢ knows. Do you?

The 2015 RegtelligenceTM numbers are in! Our financial regulatory intelligence database, compiled from over 30,000 investment advisors, dually-registered firms and affiliates with over 10 years of data covering 290 financial regulators worldwide, reveals some very interesting insights.

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SEC Awards Outside Whistleblower

Bates Research  |  01-22-16

SEC Awards Outside Whistleblower

The SEC's whistleblower program, as outlined in the Dodd-Frank Act, has a very simple origin story. Work by an outside analyst, which was presented repeatedly to the commission and could have brought the Madoff fraud to light, was repeatedly ignored.

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Page 34 of 45 pages.

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