Search for: "Application of Securities and Exchange Commission"
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11 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) adopted amendments on October 10, 2023 to the rules governing beneficial ownership reporting on Schedules 13D and 13G and provided guidance on the rules’ application. [read post]
7 Dec 2023, 10:00 pm
At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing Rules) to improve risk management in clearance and settlement and facilitate additional central clearing for the US treasury market. [read post]
11 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) adopted amendments on October 10, 2023 to the rules governing beneficial ownership reporting on Schedules 13D and 13G and provided guidance on the rules’ application. [read post]
11 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) adopted amendments on October 10, 2023 to the rules governing beneficial ownership reporting on Schedules 13D and 13G and provided guidance on the rules’ application. [read post]
10 Feb 2012, 8:27 am
Securities and Exchange Commission (SEC) Summer Honors Law Program gives law students the opportunity to become familiar with the securities market. [read post]
11 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) adopted amendments on October 10, 2023 to the rules governing beneficial ownership reporting on Schedules 13D and 13G and provided guidance on the rules’ application. [read post]
7 Dec 2023, 10:00 pm
At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing Rules) to improve risk management in clearance and settlement and facilitate additional central clearing for the US treasury market. [read post]
7 Dec 2023, 10:00 pm
At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing Rules) to improve risk management in clearance and settlement and facilitate additional central clearing for the US treasury market. [read post]
7 Dec 2023, 10:00 pm
At its next open meeting on December 13, 2023, the US Securities and Exchange Commission (SEC) is expected to adopt rules (the Treasury Clearing Rules) to improve risk management in clearance and settlement and facilitate additional central clearing for the US treasury market. [read post]
23 Feb 2023, 10:00 pm
A week after the US Securities and Exchange Commission (SEC) proposed amendments to cover cryptoassets under the Custody Rule applicable to investment advisers, federal banking agencies issued a statement reminding banks of their risk management obligations in connection with holding crypto companies’ deposits. [read post]
23 Feb 2023, 10:00 pm
A week after the US Securities and Exchange Commission (SEC) proposed amendments to cover cryptoassets under the Custody Rule applicable to investment advisers, federal banking agencies issued a statement reminding banks of their risk management obligations in connection with holding crypto companies’ deposits. [read post]
23 Feb 2023, 10:00 pm
A week after the US Securities and Exchange Commission (SEC) proposed amendments to cover cryptoassets under the Custody Rule applicable to investment advisers, federal banking agencies issued a statement reminding banks of their risk management obligations in connection with holding crypto companies’ deposits. [read post]
23 Feb 2023, 10:00 pm
A week after the US Securities and Exchange Commission (SEC) proposed amendments to cover cryptoassets under the Custody Rule applicable to investment advisers, federal banking agencies issued a statement reminding banks of their risk management obligations in connection with holding crypto companies’ deposits. [read post]
23 Feb 2023, 10:00 pm
A week after the US Securities and Exchange Commission (SEC) proposed amendments to cover cryptoassets under the Custody Rule applicable to investment advisers, federal banking agencies issued a statement reminding banks of their risk management obligations in connection with holding crypto companies’ deposits. [read post]
23 Feb 2023, 10:00 pm
A week after the US Securities and Exchange Commission (SEC) proposed amendments to cover cryptoassets under the Custody Rule applicable to investment advisers, federal banking agencies issued a statement reminding banks of their risk management obligations in connection with holding crypto companies’ deposits. [read post]
29 Mar 2017, 5:00 am
Since the purchase in this case was neither a transaction in a security listed on a domestic exchange nor a domestic transaction in an unlisted security, Rule 105 was not applicable to the transactions in this case, the court found.The case is No. 14-CV-645. [read post]
24 Jul 2012, 3:26 pm
The securities, banking and hedge fund industries have asked the CFTC to extend the public comment period on proposed guidance on the cross-border application of the Dodd-Frank derivatives provisions from August 27 until September 10. [read post]
23 Jan 2021, 7:03 am
On December 22, 2020, the Securities and Exchange Commission (the “SEC”) published proposed amendments to Rule 144 under the Securities Act of 1933 (the “Securities Act”). [1] Rule 144 is a safe harbor allowing for public resales of securities without registration under the Securities Act. [2] It includes two separate sets of requirements—one applicable to “control securities”… [read post]
1 Nov 2024, 7:23 am
In 2023, the Commission solicited public comment on the proposal’s application to crypto asset markets and DeFi. [read post]
2 Aug 2012, 6:08 pm
The securities commissions in British Columbia, Alberta and Quebec have each issued separate blanket orders exempting certain issuers from application of Multilateral Instrument 51-105 Issuers Quoted in the U.S. [read post]
