News -

Bates Research  |  10-16-15

More Elder Investor Protections

Since we last blogged about rules for elder investor protection (or, more generally, protection for those with diminished capacity), there have been a few new developments.


Bates News  |  10-14-15

Alison Jimenez presents on two panels in Las Vegas

Alison Jimenez, Bates Group Affiliate Expert, presented on two panels at the Association of Certified Anti-Money Laundering Specialists ("ACAMS") annual conference in Las Vegas.


Bates Research  |  10-09-15

Pension Buyout Exception Ends

We don't often blog about the IRS, but a recent announcement they made will dramatically impact pension fund operations within the United States.


Bates Research  |  10-02-15

Supervision of Automated Trading Systems

Yesterday the SEC announced an $8 million settlement with Latour, a trading subsidiary of Tower Research, as a result of its failure to detect and control a coding error in its automated trading programs.


Bates News  |  09-25-15

Bates Group LLC honored as a Best Securities Litigation Consulting Firm

Bates Group LLC is honored to have voted a Best Securities Litigation Consulting Firm by the 2015 Readers of the New York Law Journal.


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.


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.


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.


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.


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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