Search for: "Luis A. Aguilar, U.S. Securities and Exchange Commission," Results 21 - 40 of 118
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Strengthening Oversight of Broker-Dealers to Prevent Another Madoff
1 Aug 2013, 6:23 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Pension Funds as Owners and Investors
13 Jul 2012, 6:24 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Facilitating Real Capital Formation
23 Apr 2011, 6:07 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Effective Consolidated Audit Trail: Keeping the Door Open
27 Jul 2012, 6:16 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Statement on the SEC’s Issuance of Certain Exemptive Orders Related to Rule 17g-5(c)(1)
14 Jan 2014, 6:25 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
An Update on Diversity and Financial Literacy
7 May 2011, 6:26 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Defining Dealers and Major Participants in the Cross-Border Context
29 Jun 2014, 6:00 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Promoting Investor Protection in Small Business Capital Formation
4 Jan 2014, 6:00 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Setting Forth Goals for 2015
25 Feb 2015, 6:02 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Effective Small Business Capital Formation
30 Nov 2012, 5:48 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Commissioner Announces Increased Regulatory Focus on Complex Securities
24 Apr 2015, 4:09 pm by Lax & Neville LLP
On April 14, 2015, in a speech to the North American Securities Administrators Association (“NASAA”), Luis Aguilar, Commissioner to the Securities and Exchange Commission (“SEC”), stated that the SEC is looking closer at sales practices with respect complex securities. [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
Addressing Conflicts of Interest in the Credit Ratings Industry
25 May 2013, 7:35 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
The Importance to the Capital Markets of Updating the Rules Regarding Transfer Agents
22 Dec 2014, 1:59 pm by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Making the Municipal Securities Market More Transparent, Liquid, and Fair
22 Feb 2015, 6:00 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Harnessing Crowdfunding to Help Small Businesses, While Protecting Investors
30 Oct 2013, 6:16 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Fighting on Behalf of Investors Despite Efforts to Weaken Protections
16 Apr 2013, 2:47 pm by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Conference: Investment Management Law - Hempstead, NY
23 Jul 2009, 6:51 pm
Securities and Exchange Commission, will offer the keynote address. [read post]
Legal Scholarship Blog - http://legalscholarshipblog.com
Statement on the Volcker Rule and Reducing Systemic Risk
11 Dec 2013, 6:13 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
An Informed Approach to Issues Facing the Mutual Fund Industry
10 Apr 2014, 6:22 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Senate Confirms New Commissioners for SEC, CFTC
21 Oct 2011, 11:09 am by Jenna Greene
Securities and Exchange Commission and one for the Commodity Futures Trading Commission. [read post]
The BLT: Blog of Legal Times - http://legaltimes.typepad.com/blt/