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SEC Adjusts Fee Rates for Section 6(b), Section (13e) and Section 14(g)
12 Oct 2010, 5:02 am
Public companies and companies registering to go public should be aware of recent fee rate adjustments made by the Securities and Exchange Commission. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
Proposed Rule Regarding General Solicitation and Advertising
6 Sep 2012, 5:41 am by Mary L. Schapiro, Chairman, 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 probes Amazon over the use of sellers’ data for private labels-WSJ
9 Apr 2022, 11:58 am by jeffreynewmanadmin
The Securities and Exchange Commission is investigating how Amazon is handling disclosures of its employee’s use of data from sellers on its e-commerce platform. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers?, The Review of Securities & Commodities Regulation
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
As Prescribed - https://www.morganlewis.com/blogs/asprescribed
Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers?, The Review of Securities & Commodities Regulation
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
Up & Atom - https://www.morganlewis.com/blogs/upandatom
Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers?, The Review of Securities & Commodities Regulation
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
ML BeneBits - https://www.morganlewis.com/blogs/mlbenebits
Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers?, The Review of Securities & Commodities Regulation
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
Tech & Sourcing @ Morgan Lewis - https://www.morganlewis.com/blogs/sourcingatmorganlewis
Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers?, The Review of Securities & Commodities Regulation
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
Well Done - https://www.morganlewis.com/blogs/welldone
Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers?, The Review of Securities & Commodities Regulation
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
Power & Pipes - https://www.morganlewis.com/blogs/powerandpipes
Royal Alliance, Securities America, & Other Firms To Pay $3M for Allegedly Unsuitable iPath S&P 500 VIX Short–Term Futures ETN & Other ETP Sales
23 Nov 2020, 8:42 am by Shepherd Smith Edwards & Kantas, LLP
Retail Investors Were Allegedly Told To Hold Exchange-Traded Products for Too Long  In separate settlements reached with the US Securities and Exchange Commission (SEC), Royal Alliance Associates, Securities America Advisors, Summit Financial Group, Benjamin F. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
VanCook v. SEC: Violating Rule 10b-5 through Inaccurate Time Stamps
16 Sep 2011, 5:00 am by Susan Beblavi
Securities & Exchange Commission, 2011 U.S. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
Blowing the Whistle on Securities Fraud
8 Dec 2015, 10:30 am by Louthian Law Firm
Under Dodd-Frank, the Office of the Whistleblower was established for the Securities Exchange Commission (SEC) to encourage those who have information about securities and commodities laws violations to notify the authorities. [read post]
South Carolina Lawyer Blog - http://www.southcarolinalawyerblog.com/
Tracking the Impact of Securities and Exchange Commission v. Jarkesy and Other Constitutional Challenges Against the FTC
13 Oct 2023, 12:44 pm by Leonard L. Gordon, Mary M. Gardner and Michael A. Munoz
In at least US v. [read post]
All About Advertising Law - http://www.allaboutadvertisinglaw.com
US Hedge Fund Industry Comments on European Commission Proposed Changes to MiFID
3 Feb 2011, 1:47 pm by James Hamilton
In a letter to the Commission, the MFA, chaired by former US Rep. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Bipartisan Group of Former SEC Officials and Securities Experts Confirms Longstanding SEC Authority on Climate Disclosure
16 Jun 2022, 9:05 pm by Working Group on Securities Disclosure Authority
Securities and Exchange Commission on June 16, 2022. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Robert Vance, Moloney Securities, SEC Charges
30 Sep 2024, 1:29 pm by The White Law Group
Securities and Exchange Commission (SEC) reportedly filed a lawsuit against a California-based financial advisor, Robert Vance. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
FINRA Proposes to Disseminate Transaction Reports in Corporate Debt Securities
8 Aug 2013, 6:23 am by Russell D. Sacks, Shearman & Sterling LLP,
(“FINRA”) submitted an amendment to its Rule 6750 to the Securities and Exchange Commission (“SEC”). [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
New briefing note – Rule 192 – US conflicts rule may hit UK and European securitisations and repackagings
31 Mar 2023, 7:33 am by Michele Daelemans, Christian Lambie and David Shearer (UK)
On 27 March 2023 both SIFMA and AFME submitted letters of comment to the US Securities and Exchange Commission (the SEC) responding to the SEC’s Release No. 33-11151 proposing new Rule 192 (Rule 192), seeking to implement a prohibition as required by Section 27B of the Securities Act of 1933 (as inserted in that Act by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act). [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
SEC Enforcement Mid-Year Review
14 Jun 2023, 6:31 am
Securities and Exchange Commission (the “SEC” or the “Commission”) has had a busy start to its Fiscal Year 2023 enforcement program, continuing its vigorous approach to enforcement with its use of novel theories and enhanced remedies. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
SEC Enforcement Mid-Year Review
14 Jun 2023, 6:31 am
Securities and Exchange Commission (the “SEC” or the “Commission”) has had a busy start to its Fiscal Year 2023 enforcement program, continuing its vigorous approach to enforcement with its use of novel theories and enhanced remedies. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/