Jennifer L. Klass from Morgan Lewis Author Profile Page

Jennifer L. Klass

Morgan Lewis

ARTICLES
RANKINGS

Filter by:

Country(s)
United States
Topic(s)
Corporate/Commercial Law Employment and HR Finance and Banking Technology

SEC Proposes Rules Of The Road For Brokers Giving Advice To Retail Investors

17 May 2018 | United States

SEC Proposes Standards Of Conduct For Broker-Dealers, Investment Advisers

24 Apr 2018 | United States

SEC Observations from Recent Cybersecurity Examinations Identify Best Practices

22 Aug 2017 | United States

SEC Proposes Business Continuity And Transition Plan Requirements For Investment Advisers; Staff Issues Guidance For Registered Funds

08 Aug 2016 | United States

"Pay to Play" Developments

30 Jul 2015 | United States

DOL Releases Final 408(b)(2) Disclosure Regulation

13 Feb 2012 | United States

FSOC Proposes Rules For Board Of Governors Of The Federal Reserve’s Supervision Of Nonbank Financial Companies

01 Nov 2011 | United States

Solicitors as Municipal Advisors Subject to Registration and New Fiduciary Standards

04 Oct 2010 | United States

SEC Adopts Pay-to-Play Rule Under Investment Advisers Act

15 Jul 2010 | United States

RELATED CONTENT

Contact Details

Washington, DC

Washington, DC

United States

© Mondaq® Ltd 1994 - 2024. All Rights Reserved.

Please to Mondaq or for unlimited free access and a complimentary news alert

|

|

|

|