bob200体育美国证券法规新闻：SEC希望推迟主要交易规则，FINRA增加了更多的时间来更改价格，第二巡回法院表示，多德 - 弗兰克的举报机构不适用海外

秒Wants To Extend Temporary Rule Letting Dually-Registered Advisers Get Principal Trading Consent

美国证券交易委员会（Securities and Exchange Commbob200体育ission）第三次希望扩展一项临时规则，使其更加容易投资顾问这些也被注册为经纪人，以从其公司的专有帐户中出售。监管机构发表评论的提案，该提案将把临时规则到期日期移至2016年底，而不是2014年底。

Under the temporary rule, dually registered advisers can either get verbal consent for principal trades on a transaction basis or give written prospective disclosure and authorization, in addition to yearly reports to the clients. With principal trades, a brokerage firm uses its own securities in the transaction.

1940年的《投资顾问法》规定，顾问在每次主要贸易之前都得到书面披露和同意。当公司从其专有帐户进行交易时，这应该防止可能的利益冲突。通过扩展临时规则，监管机构希望有更多时间思考是否应该有一个单独的规则来提高经纪人的标准，以提供投资建议。

FINRAGives SEC More Time to Act On REIT Price Notification Rule
The Financial Industry Regulatory has extended the deadline for when the SEC must act on its proposed change to Rule 2340, about real estate investment trust price notifications, to until October 17. This is the second extension the self-regulatory organization has given to the Commission over this matter this year.

上个月，FINRA要求SEC允许独立经纪公司和非交易房地产投资信托信托赞助商18个月习惯了新的准则，这将要求他们更好地了解购买非交易REIT股票和其他其他涉及的成本直接安置程序/私人安置。

Under the proposed rule change, which would apply to the account statements of brokerage firm clients, the per-share value of a nontraded REIT would not longer be listed at the common price of $10. Instead, the various commissions and fees that dealer mangers and brokers get would have to be factored. This would lower the amount of each private placement’s share price on an account statement. If the SEC decides to follow FINRA’s recommendation, investors with illiquid investments won’t see this information on their account statements until April 2016.

上诉法院同意，多德 - 弗兰克（Dodd-Frank）的反退休规定仅适用于国内
美国上诉法院第二巡回法院裁定，多德 - 弗兰克的反退休规定不适用海外。该裁决坚持了一个低级决定，该决定批准了西门子驳回前合规官在其中国办公室提起的诉讼的动议。前雇员孟·刘（Meng-Lin Liu）说，他在报道了该公司的犯罪行为后对他进行了报复。

根据2010年的《多德 - 弗兰克法》，不允许公司对某些举报人采取行动。但是，举报人规定并未规定这些保护是否扩展到国外。

上诉法院援引美国最高法院的裁决，确认他们仅在美国申请。它指出，刘，他的雇主和任何涉嫌行为的实体都是外国人，这些行为将发生在国外。

Liu turned in a whistleblower tip to the SEC after leaving the company. Like the district court, however, the Second Circuit did not delve into whether or not Liu’s failure to qualify for whistleblower protection was because he didn’t file this information with the Commission until after he was let go by Siemens China.

FINRA会有更多时间进行更改的重新定价，，，，Investment News, August 14, 2014

秒seeks to delay principal trading rule for two years, MorningStar, August 13, 2014

统治者在举报人身上留下云，，，，The Wall Street Journal, August 18, 2014

FINRA规则

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SEC检查了市政顾问和替代共同基金，审查了“包装费”帐户，股票经纪人欺诈博客，2014年8月20日

FINRA投资者警报警告说骗局吹捧埃博拉治疗和其他病毒疾病库存方案，，，，Stockbroker Fraud Blog, August 19, 2014

Lehman Brothers’ Unsecured Creditors to Get $4.6B Payout, Institutional Investor Securities Blog, August 21, 2014