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6 Nov 2019, 1:02 pm
The Securities and Exchange Commission today released the agenda for the Tuesday, Nov. 12 meeting of its Small Business Capital Formation Advisory Committee. [read post]
4 Dec 2019, 2:06 pm
The Securities and Exchange Commission today released the agenda for a Dec. 11 telephonic meeting of its Small Business Capital Formation Advisory Committee. [read post]
1 Sep 2016, 11:36 am
On August 25, 2016, the Securities and Exchange Commission requested “public comment on disclosure requirements in Subpart 400 of Regulation S-K, including those relating to management, certain security holders, and corporate governance matters. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
17 May 2022, 6:31 am
These comments relate solely to the Prohibited Activity Rules that would forbid the following terms and conditions in investor advisory agreements: “Charging certain fees and expenses to a private fund or portfolio investment, including accelerated monitoring fees; fees or expenses associated with an examination or investigation of the adviser or its related persons by governmental or regulatory authorities; regulatory or compliance expenses or fees of the adviser or its related persons; or… [read post]
17 May 2022, 6:31 am
These comments relate solely to the Prohibited Activity Rules that would forbid the following terms and conditions in investor advisory agreements: “Charging certain fees and expenses to a private fund or portfolio investment, including accelerated monitoring fees; fees or expenses associated with an examination or investigation of the adviser or its related persons by governmental or regulatory authorities; regulatory or compliance expenses or fees of the adviser or its related persons; or… [read post]
10 Apr 2014, 9:18 am
On March 10, 2014, the Securities and Exchange Commission (“SEC”) announced that issuers and underwriters of municipal securities may voluntarily report materially inaccurate statements made in offering documents regarding prior continuing disclosure compliance through a program called the Municipalities Continuing Disclosure Cooperation Initiative (the “MCDC Initiative”). [read post]
9 Aug 2007, 2:16 pm
According to the Securities and Exchange Commission rules, a public company is required to have an auditor review of quarterly financial statements prior to filing a 10-Q: SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 210, 228, 229, and 240 [Release No. 34-42266; File No. [read post]
7 Apr 2022, 6:10 am
Securities and Exchange Commission. [read post]
7 Apr 2022, 6:10 am
Securities and Exchange Commission. [read post]
1 Aug 2012, 8:52 am
In May 2010, the Commission adopted amendments to Exchange Act Rule 15c2-12 that were aimed at improving the quality and timeliness of municipal securities disclosure. [read post]
14 Mar 2023, 8:38 am
The Securities and Exchange Commission (SEC) has filed a petition for certiorari with the U.S. [read post]
22 Feb 2015, 6:00 am
Securities and Exchange Commission. [read post]
15 Dec 2014, 1:17 pm
” would be inconsistent with the law and, by the authors’ own admission, inconsistent with the current policy and practice of the staff of the Securities and Exchange Commission. [read post]
20 Apr 2014, 6:00 am
Securities and Exchange Commission. [read post]
