Your search results for Kramer

Search Again

April 12, 2013 Private Funds and Broker-Dealer Registration: Comments by The Chief Counsel of the SEC’S Division of Trading and Markets

March 25, 2013 SEC Proposes Regulation Systems Compliance and Integrity

August 16, 2012 The SEC Approves New Consolidated Audit Trail Rule

February 10, 2012 Supervisory Obligations of Broker-Dealer Legal and Compliance Personnel After The Urban Case

January 27, 2012 Large Traders Not Required to Submit Annual Filing for Calendar Year 2011

October 7, 2011 The SEC Sanctions Broker For Failure To Maintain And Enforce Insider Trading Policies

August 4, 2011 SEC Adopts Large Trader Reporting System