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SEC Proposes Revision to Privacy Act Rule
14 Feb 2023, 12:05 pm by Mark Astarita
The Securities and Exchange Commission today proposed a rule that would revise the Commission’s [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Keith E. Cassidy and Natasha Vij Greiner Appointed Deputy Directors of Division of Examinations
7 Nov 2022, 8:36 am by Mark Astarita
The Securities and Exchange Commission today named Keith E. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes to Enhance Private Fund Reporting
10 Aug 2022, 8:20 am by Mark Astarita
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
14 May 2024, 11:55 am by Mark Astarita
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces Agenda, Panelists for SEC-CFTC Roundtable on Regulatory Harmonization Efforts
24 Sep 2025, 9:20 am by Mark Astarita
The Securities and Exchange Commission and the Commodity Futures Trading Commission have announced the [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Approves Revised Privacy Act Rule
20 Sep 2023, 2:12 pm by Mark Astarita
The Securities and Exchange Commission today approved a rule to revise the Commission’s regulations [read post]
Securities Law Blog - http://seclaw.blogspot.com/
New SEC Proposed Amendments Seek to Improve and Harmonize Private Offering Exemptions
18 Mar 2020, 5:45 am by Jason Brenkert
On March 4, 2020, the Securities and Exchange Commission (the “Commission”) proposed amendments [read post]
Cross-Border Counselor: What Canadian Companies and Their Advisors Need to Know About U.S. Law - https://crossbordercounselor.com/
SEC Institutes Cease-and-Desist Proceedings Against Paul T. Lebel Formerly of LPL Financial LLC for Churning Client Accounts to Gain Commissions
26 Oct 2016, 7:51 am by Lax & Neville LLP
On October 18, 2016, the Securities and Exchange Commission (“SEC”) issued cease-and-desist [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
SEC Issues Staff Report on Accredited Investor Definition
15 Dec 2023, 8:11 am by Mark Astarita
The Securities and Exchange Commission today issued a staff report on the accredited investor definition [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Small Business Advocacy Office Releases Annual Report on Capital Raising
16 Dec 2022, 7:54 am by Mark Astarita
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges S&P Global Ratings with Conflict of Interest Violations
14 Nov 2022, 1:20 pm by Mark Astarita
The Securities and Exchange Commission today charged S&P Global Ratings, a nationally recognized [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Issues Nearly $3.5 Million Award to Four Whistleblowers
6 May 2022, 8:35 am by Mark Astarita
The Securities and Exchange Commission today announced a total award of nearly $3.5 million to four whistleblowers [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Reopens Comment Period for Proposed Rule Amendments to Modernize Beneficial Ownership Reporting
28 Apr 2023, 12:46 pm by Mark Astarita
The Securities and Exchange Commission today reopened the comment period for its proposed amendments [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Supreme Court Review of SEC’s Authority to Seek Disgorgement
21 Nov 2019, 6:27 am
Securities and Exchange Commission, [1] a case that challenges the SEC’s long-held position that [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Adopts New Dealer Rules to Capture Liquidity Providers
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44 [read post]
Well Done - https://www.morganlewis.com/blogs/welldone
SEC Adopts New Dealer Rules to Capture Liquidity Providers
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44 [read post]
As Prescribed - https://www.morganlewis.com/blogs/asprescribed
SEC Adopts New Dealer Rules to Capture Liquidity Providers
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44 [read post]
Power & Pipes - https://www.morganlewis.com/blogs/powerandpipes
Public Companies: Consider Updating Disclosures to Reflect Risks Posed by Cryptoasset Markets
8 Dec 2022, 10:00 pm
Blog AbstractJust shy of a month since FTX declared bankruptcy, the US Securities and Exchange Commission [read post]
Well Done - https://www.morganlewis.com/blogs/welldone
Public Companies: Consider Updating Disclosures to Reflect Risks Posed by Cryptoasset Markets
8 Dec 2022, 10:00 pm
Blog AbstractJust shy of a month since FTX declared bankruptcy, the US Securities and Exchange Commission [read post]
Tech & Sourcing @ Morgan Lewis - https://www.morganlewis.com/blogs/sourcingatmorganlewis
The Expansion of Regulation A
23 Jan 2019, 5:56 am
On December 19, 2018, the Securities and Exchange Commission (the “SEC”) adopted amendments [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/