ARTICLES - 2008

 

INVESTOR

SEC Details Its Actions To Protect Investors And The Markets During The Credit Crisis

UBS Sale Of Structured Notes Promising Protection Of Principal Falls Far Short; Investors Must Be On Guard

Changes To Expungement Rule Seek To Better Protect Customers' And Regulators' Right To Access Complaint Information

Investor Protection Priorities Of Securities Regulators Revealed In Continuing Education Topics

Regulator's First Enforcement Action Relating To Mortgage-Backed Securities Is Just The Beginning

Regulator Provides Guidance For Weathering Tough Financial Times

New York Attorney General's Complaint Against UBS Securities Seeking Relief For Auction Rate Securities Purchasers Nationwide

Securities Regulator Proposes To Improve The Accuracy Of Communications Regarding Variable Insurance Products

SEC Proposes Changing The Rules To Better Protect Purchasers Of Equity Indexed Annuities

Regulator's Complaint Against UBS Securities Exposes Significant Conflicts of Interest and Omissions in the Sale of Auction-Rate Securities

Investor Angst, Regulatory Probes and Litigation Intensify Over Auction Rate Securities

Securities Regulator Issues Warning Regarding Reverse Mortgages

Auction Rate Securities Present a "Hotel California" Nightmare for Investors

Securities Regulator Issues Tips to Protect Financial Information

RAND Report Confirms Investor Confusion Regarding Roles and Responsibilities of Brokers Versus Advisers

 

PROFESSIONAL

SEC Sanctions Against Brokerage Firm CEO Underscores Requirement To Supervise Reasonably

Regulators Offer Guidance To Improve Policies And Procedures To Protect Senior Investors

Securities Regulator Highlights Examination Priorities To Protect Investors

SEC Reveals Information To Help Financial Services Firms Survive A Compliance Examination

SEC Reveals Top 10 Compliance Issues For Investment Advisers 

New Handbook Outlines Prudent Practices for Fiduciary Advisers

Hedge Fund Industry Announces New Guidelines Including Checklist for Developing Compliance Manual

Securities Regulator Provides Guidance Regarding the Review and Supervision of Electronic Communications

Securities Regulators Reveal Widespread Compliance Deficiencies on the Part of Investment Advisers 

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JAMES J. ECCLESTON

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