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SEC Adopts Securities Lending Reporting Rules
12 Oct 2023, 10:00 pm
On October 13, 2023, the US Securities and Exchange Commission (SEC) adopted Rule 10c-1a requiring the [read post]
As Prescribed - https://www.morganlewis.com/blogs/asprescribed
SEC Adopts Securities Lending Reporting Rules
12 Oct 2023, 10:00 pm
On October 13, 2023, the US Securities and Exchange Commission (SEC) adopted Rule 10c-1a requiring the [read post]
Up & Atom - https://www.morganlewis.com/blogs/upandatom
SEC Adopts Securities Lending Reporting Rules
12 Oct 2023, 10:00 pm
On October 13, 2023, the US Securities and Exchange Commission (SEC) adopted Rule 10c-1a requiring the [read post]
Tech & Sourcing @ Morgan Lewis - https://www.morganlewis.com/blogs/sourcingatmorganlewis
Modernizing and Enhancing Investment Company and Investment Adviser Reporting
21 May 2015, 6:07 am by Harvard Law School Forum on Corporate Governance and Financial Regulation
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
The SEC in 2014
6 Feb 2014, 6:16 am by Mary Jo White, Chair, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Section 13 and 16 Developments: Lessons Learned from Recent SEC Enforcement Actions
18 Nov 2024, 6:30 am
Securities and Exchange Commission (“SEC”) has intensified its focus on beneficial ownership [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Section 13 and 16 Developments: Lessons Learned from Recent SEC Enforcement Actions
18 Nov 2024, 6:30 am
Securities and Exchange Commission (“SEC”) has intensified its focus on beneficial ownership [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
SEC Proposes Rules on Mandatory Clawback Policies
3 Jul 2015, 6:01 am by Harvard Law School Forum on Corporate Governance and Financial Regulation
On July 1, 2015, the Securities and Exchange Commission proposed rules to require issuers of securities [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Testimony by Chair Gensler at Hearing before the Subcommittee on Financial Services and General Government, U.S. House Appropriations Committee
18 May 2022, 6:31 am
Securities and Exchange Commission, on Wednesday, May 18, 2022 Editor's Note: Gary Gensler is Chair [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
SEC Adopts Two Rule Changes to Whistleblower Program
26 Aug 2022, 1:04 pm by Grace Schepis
Securities and Exchange Commission (SEC) announced two rule changes to further refine and incentivize [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
GAO Reports on SEC Oversight of Clearing Agencies
26 Mar 2009, 2:23 pm
The GAO released a report on Securities and Exchange Commission: Oversight of U.S. [read post]
Securities Law Prof Blog - https://lawprofessors.typepad.com/securities/
The Interrelationship Between Public and Private Securities Enforcement
11 Dec 2011, 6:17 am by Elisse Walter, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
US SEC prevented from expanding fraudulent scheme liability
17 Aug 2022, 3:57 am by Kevin Harnisch (US), Sandeep Savla (US), Seth Kruglak (US), Ryan Meltzer and Anthony Lauriello
In a decision with significant implications for securities litigation and enforcement, the United States [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Testimony by Chair Gensler at Hearing before the Subcommittee on Financial Services and General Government, U.S. House Appropriations Committee
18 May 2022, 6:31 am
Securities and Exchange Commission, on Wednesday, May 18, 2022 Editor's Note: Gary Gensler is Chair [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Small Business Advocacy Office Delivers Report to Congress on Capital Raising for Startups to Small Public Companies
12 Dec 2024, 11:20 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 and CFTC Extend Form PF Compliance Date to Oct. 1, 2026
17 Sep 2025, 10:20 am by Mark Astarita
The Securities and Exchange Commission and U.S. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces Dismissal of Civil Enforcement Action Against Coinbase
27 Feb 2025, 1:20 pm by Mark Astarita
The Securities and Exchange Commission today announced that the Commission has filed a joint stipulation [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Tina Diamantopoulos Named Regional Director of Chicago Office
16 May 2024, 7:45 am by Mark Astarita
The Securities and Exchange Commission today announced that Tina Diamantopoulos has been named Director [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Small Business Advisory Committee to Host Virtual Meeting to Discuss Proposed Rules on Climate Disclosures and SPACs
29 Apr 2022, 1:00 pm by Mark Astarita
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Acting Chair Speaks on Federal and State Securities Cooperation
8 Apr 2025, 9:01 pm by renholding
Securities and Exchange Commission (“SEC” or “Commission”).[1]  Inside the [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/