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President's Work Group Hedge Fund Report
23 Feb 2007, 9:08 am
The President's Working Group on Financial Markets (the heads of the Treasury, Federal Reserve, Securities [read post]
Business Law Prof Blog - https://lawprofessors.typepad.com/business_law/
Bullard on Investment Advisers
10 Nov 2016, 1:19 pm by Eric C. Chaffee
on SSRN with the following abstract: The Securities and Exchange Commission (SEC or Commission) appears [read post]
Securities Law Prof Blog - https://lawprofessors.typepad.com/securities/
Further Extension of Form PF Amendments Compliance Date
11 Jun 2025, 3:25 pm by Mark Astarita
The Securities and Exchange Commission, together with the U.S. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC and CFTC Issue Joint Statement on Regulatory Harmonization Efforts; Will Co-Host Roundtable Sept. 29
5 Sep 2025, 6:10 am by Mark Astarita
The Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) today issued [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Examining the SEC’s Agenda, Operations, and FY 2018 Budget Request
15 Nov 2016, 5:36 pm
Securities and Exchange Commission, on Wednesday, November 16, 2016 Editor's Note: Mary Jo White [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Awards More Than $2.2 Million to Whistleblower Who Initially Reported Information to a Different Federal Agency
6 Apr 2018, 7:51 am by Silver Law Group
The Securities and Exchange Commission (the “SEC”) announced that it was awarding a whistleblower [read post]
SEC Whistleblower Lawyer Blog - http://www.secwhistleblowerlawyers.net/
SEC Whistleblower Program Continues to Thrive, Commission’s Annual Report Shows
22 Nov 2024, 11:43 am by Geoff Schweller
Securities and Exchange Commission (SEC) Office of the Whistleblower published its Annual Report to Congress [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
5 Aug 2015, 1:49 pm by Eric C. Chaffee
The press release states in part: The Securities and Exchange Commission today adopted new rules to provide [read post]
Securities Law Prof Blog - https://lawprofessors.typepad.com/securities/
Update by Chairman Clayton on the Commission’s Targeted Regulatory Relief to Assist Market Participants Affected by COVID-19 and Ensure the Orderly Function of our Markets
27 Jun 2020, 6:54 am
Securities and Exchange Commission, on Saturday, June 27, 2020 Editor's Note: Jay Clayton is Chairman [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
The One with the Miscalculated Fees
12 Sep 2022, 3:29 am by Doug Cornelius
The Securities and Exchange Commission has made it clear that one of its primary points of interest with [read post]
Compliance Building - http://www.compliancebuilding.com
Opening Statement at the SEC Open Meeting
13 Oct 2018, 7:22 am
Securities and Exchange Commission, on Saturday, October 13, 2018 Editor's Note: Jay Clayton  [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Statement on Credit Risk Retention
22 Oct 2014, 2:05 pm 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/
Petitions of the week
16 Jul 2019, 10:22 am by Aurora Barnes
929P(b) of the Dodd-Frank Act’s jurisdictional amendments on Sections 10(b) and 17(a) of the Securities [read post]
SCOTUSblog - http://www.scotusblog.com/
SEC Goes After Windsor Street Capital for Facilitating Fraudulent Pump and Dump Schemes
10 Feb 2017, 1:20 pm by Lax & Neville LLP
On January 25, 2017, the Securities and Exchange Commission (“SEC”) instituted public administrative [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
SEC Goes After Windsor Street Capital for Facilitating Fraudulent Pump and Dump Schemes
10 Feb 2017, 1:20 pm by Lax & Neville LLP
On January 25, 2017, the Securities and Exchange Commission (“SEC”) instituted public administrative [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
In highest SEC whistleblower award, anonymous tipster receives $14 million
1 Oct 2013, 8:10 pm by Ben Vernia
On October 1, the Securities and Exchange Commission announced that it had paid the highest award ever [read post]
False Claims Counsel - http://www.falseclaimscounsel.com/wordpress
Breaking: Judge Rakoff Approves SEC Settlement with Bank of America
22 Feb 2010, 9:23 am
The brilliant but prickly Judge Rakoff has (reluctantly) signed off on the Securities and Exchange Commission [read post]
Above the Law - http://abovethelaw.com/
SEC Press Release Feed
2 Nov 2010, 10:52 am by Jennifer Stephens
The Securities and Exchange Commission (SEC) has a news release RSS feed: http://www.sec.gov/rss/news [read post]
Lex Scripta - http://dallnet.blogspot.com/
The SEC Has Been Busy With Pay-to-Play Compliance and Expects You To Be As Well
11 Nov 2009, 7:11 am by Dentons Pay to Play Law Group
The Securities and Exchange Commission (SEC) has given notice that it intends to take a very active role [read post]
Pay to Play Law Blog - https://www.paytoplaylawblog.com/
The SEC Has Been Busy With Pay-to-Play Compliance and Expects You To Be As Well
11 Nov 2009, 7:11 am by Pay to Play Law Group
The Securities and Exchange Commission (SEC) has given notice that it intends to take a very active role [read post]
Pay to Play Law Blog - https://www.paytoplaylawblog.com/