Search for: "Securities and Exchange Commission"
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18 Nov 2022, 6:32 am
Securities and Exchange Commission. [read post]
16 Jul 2019, 10:22 am
Securities and Exchange Commission 18-1566 Issue: Whether Section 929P(b) of the Dodd-Frank Act’s jurisdictional amendments conferred substantive extraterritorial reach under Sections 10(b) and 17(a) of the Securities Exchange Act in Securities and Exchange Commission enforcement actions and in federal criminal prosecutions. [read post]
12 Mar 2021, 5:54 am
Data Protection Commission of Ireland Publishes Annual Report Source: ComplexDiscovery The post Compromised? [read post]
6 Feb 2012, 7:09 am
Securities and Exchange Commission. [read post]
4 Apr 2012, 7:19 am
The Securities and Exchange Commission recently issued a Risk Alert on compliance measures to help broker-dealers fulfill their due-diligence duties when underwriting offerings of municipal securities. [read post]
28 Oct 2011, 3:07 pm
The Financial Industry Regulatory Authority (FINRA) does, according to the Securities and Exchange Commission. [read post]
14 May 2024, 11:55 am
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and…Read the Full Press Release Have a securities law question? [read post]
16 Dec 2022, 7:54 am
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2022 Annual Report to Congress and the Commission. [read post]
27 Mar 2024, 7:05 am
The Securities and Exchange Commission today adopted amendments to the rule permitting certain internet investment advisers to register with the Commission (the “internet adviser exemption”). [read post]
29 Apr 2022, 1:00 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its virtual meeting on Friday, May 6, which will examine the Commission’s proposed rules on climate-related disclosures and Special…Read the Full Press ReleaseHave a securities law question? [read post]
4 Sep 2024, 1:30 pm
The Securities and Exchange Commission today announced settled charges against three affiliated registrants, Commission-registered broker-dealer Nationwide Planning Associates, Inc. and investment adviser NPA Asset Management, LLC, and state-registered…Read the Full Press Release Have a securities law question? [read post]
28 Aug 2024, 8:20 am
The Securities and Exchange Commission today adopted amendments to reporting requirements on Form N-PORT to provide the Commission and investors with more timely information about certain registered investment companies (funds). [read post]
30 Oct 2024, 8:00 am
The Securities and Exchange Commission today announced four new members of the Small Business Capital Formation Advisory Committee. [read post]
15 Dec 2023, 8:11 am
The Securities and Exchange Commission today issued a staff report on the accredited investor definition. [read post]
10 Aug 2022, 8:20 am
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. [read post]
18 Mar 2020, 5:45 am
On March 4, 2020, the Securities and Exchange Commission (the “Commission”) proposed amendments to the private offering exemptive framework under the Securities Act of 1933, as amended (the “Securities Act”) to “simplify, harmonize, and improve certain aspects of the framework” with the goal of promoting capital formation while maintaining investor protections. [read post]
20 Sep 2023, 2:12 pm
The Securities and Exchange Commission today approved a rule to revise the Commission’s regulations under the Privacy Act, which is the principal law governing the handling of personal information in the federal government. [read post]
6 May 2022, 8:35 am
The Securities and Exchange Commission today announced a total award of nearly $3.5 million to four whistleblowers who provided information and assistance in a single covered action. [read post]
7 Nov 2022, 8:36 am
The Securities and Exchange Commission today named Keith E. [read post]
16 May 2024, 7:45 am
The Securities and Exchange Commission today announced that Tina Diamantopoulos has been named Director of the Chicago Regional Office, the Commission’s second-largest regional office. [read post]
