In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines relevant SEC, FINRA and CFTC updates, enforcement and judicial actions, and highlights approved rules for fourth quarter 2017.
Highlights Include:
- Statements by SEC Chairman Jay Clayton from the Annual PLI Seminar
- SEC Announcements
- FINRA 2017 Examination Findings
- CFTC Annual Enforcement Results
- The Approved Investment Adviser Requirements Rule
