Regulatory Notice 16
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Recent and Upcoming Regulatory Compliance Changes
www.thebankadvisors.comRecent and Upcoming Regulatory Compliance Changes as of 2/21/18 – page 3 of 6 Join our Email List for update notices at www.thebankadvisors.com. Highlights are changes from the prior report.
Regulatory Notice 16-37 - finra.org
www.finra.org00 qualifying, identifying, soliciting, or acting as a placement agent or finder (i) on behalf of an issuer in connection with a sale of newly-issued, unregistered securities to institutional investors or (ii) on behalf of an issuer or a control person in connection
2016 Report on Enforcement - Federal Energy Regulatory ...
www.ferc.gov2016 Staff Report on Enforcement 3 INTRODUCTION The staff of the Office of Enforcement (Enforcement) of the Federal Energy Regulatory Commission (Commission) is issuing this report as directed by the Commission in its Revised
Regulatory Notice 17-16 - finra.org
www.finra.orgExecutive Summary FINRA seeks comment on proposed amendments to FINRA Rule 2241 (Research Analysts and Research Reports) and FINRA Rule 2242 (Debt Research
Notice 2014-21 SECTION 1. PURPOSE
www.irs.gov1 Notice 2014-21 . SECTION 1. PURPOSE . This notice describes how existing general tax principles apply to transactions using virtual currency. The notice …
Notice 2016-16 Mid-Year Changes to Safe Harbor Plans and ...
www.irs.govNotice 2016-16 . Mid-Year Changes to Safe Harbor Plans and Safe Harbor Notices . I. PURPOSE. This notice provides guidance on mid-year changes to a safe harbor plan under
TECHNOLOGY RISK MANAGEMENT GUIDELINES
www.mas.gov.sgTECHNOLOGY RISK MANAGEMENT GUIDELINES JUNE 2013 MONETARY AUTHORITY OF SINGAPORE 6 3 OVERSIGHT OF TECHNOLOGY RISKS BY BOARD OF DIRECTORS AND SENIOR MANAGEMENT 3.0.1 IT is a core function of many FIs. When critical systems fail and customers