FEBRUARY 12, 2018

REGULATION AND COMPLIANCE

SEC to Increase Exam Funding for Fiscal Year 2019

Diana Britton

While the regulator expects to fall far short of its goal of increasing exams by 5 percent in fiscal year 2018, it will boost its exam funding by nearly $20 million in fiscal year 2019.

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PODCAST

What Non-Protocol Status Means for Those Considering Independence

Mindy Diamond

A discussion about the effects of Protocol withdrawal with Sharron Ash, Chief Litigation Counsel at Hamburger Law Firm.

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ETFS

Take Two ETFs And Call Me …

Brad Zigler

Last week’s headaches are likely to continue.

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