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SEC Gives Testimony to U.S. House Committee on Financial Services
24 Sep 2024, 9:01 pm by renholding
Securities and Exchange Commission. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement
5 Jul 2015, 6:50 pm by Sabrina I. Pacifici
and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC [read post]
beSpacific - http://www.bespacific.com/
SEC Institutes Administrative and Cease-And-Desist Proceedings Against EZTD Inc. and Condemns Wider Binary Options Industry
1 Dec 2016, 6:22 am by Lax & Neville LLP
The Securities and Exchange Commission (“SEC”) issued public administrative and cease-and-desist [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
Agenda for SEC's April 14 Meeting
13 Apr 2010, 1:05 pm by Securites Lawprof
At the April 14 SEC Open Meeting, the Commission will consider the following: Item 1: Large Trader Reporting [read post]
Securities Law Prof Blog - https://lawprofessors.typepad.com/securities/
Eleventh Circuit Reverses In Part Securities Fraud Judgment Against Clearing Broker in an Action Brought by the SEC
18 Jun 2012, 7:00 am
In Securities & Exchange Commission v. Goble, 2012 WL 1918819 (11th Cir. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
Eleventh Circuit Reverses In Part Securities Fraud Judgment Against Clearing Broker in an Action Brought by the SEC
18 Jun 2012, 7:00 am
In Securities & Exchange Commission v. Goble, 2012 WL 1918819 (11th Cir. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
SEC Proposes to Eliminate Flash Orders -- Official Release
18 Sep 2009, 12:56 pm
Here is the introduction to the release: The Securities and Exchange Commission ("Commission" [read post]
Securities Law Prof Blog - https://lawprofessors.typepad.com/securities/
Proposed expanded definition of ‘exchange’ draws ire from crypto commenters
15 Jun 2023, 4:49 am by Unknown
Section 3(a)(1) of the Exchange Act and Exchange Act Rule 3b-16(a) and are subject to the exchange regulatory [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Weekly Roundup: August 26-September 1, 2022
2 Sep 2022, 6:30 am
Securities and Exchange Commission, on Friday, August 26, 2022 Tags: Dodd-Frank Act,  [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
SEC & Mandatory Arbitration: Policy Evolution and Supreme Court Precedent
30 Dec 2025, 4:30 am
Securities and Exchange Commission (the “Commission”) published a policy statement  [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
SEC & Mandatory Arbitration: Policy Evolution and Supreme Court Precedent
30 Dec 2025, 4:30 am
Securities and Exchange Commission (the “Commission”) published a policy statement  [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
New Effort to Exempt Crypto Currency from Certain SEC, Tax and Other Regulatory Burdens
19 Apr 2019, 2:09 pm by James Gatto
A new bill, the Token Taxonomy Act was introduced to congress to amend the Securities Act of 1933 and [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
Mandatory Listing Provisions for Bangladeshi Companies
11 Mar 2008, 10:49 am
As per new Securities and Exchange Commission rules, all private limited companies that have paid up [read post]
Law Chronicles Online - http://lawchroniclesonline.blogspot.com/
SEC Gives Registered Investment Advisers More Time to Bring Themselves Into Compliance with the “Pay-to-Play” Ban on Third-Party Solicitation
19 Jun 2012, 6:34 am by Benjamin Keane
For more than two years, this blog has been covering the Securities and Exchange Commission’s foray [read post]
Pay to Play Law Blog - https://www.paytoplaylawblog.com/
SEC Releases Draft Strategic Plan for Fiscal Years 2022 to 2026
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years [read post]
Up & Atom - https://www.morganlewis.com/blogs/upandatom
SEC Releases Draft Strategic Plan for Fiscal Years 2022 to 2026
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years [read post]
As Prescribed - https://www.morganlewis.com/blogs/asprescribed
SEC Releases Draft Strategic Plan for Fiscal Years 2022 to 2026
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years [read post]
Power & Pipes - https://www.morganlewis.com/blogs/powerandpipes
No Good Deed Goes Unpunished: The SEC’s Recent $100K Penalty For Inadvertent and Self-Reported Pay-to-Play Violations Is A Not So Subtle Reminder of the Need for Compliance Vigilance
28 Jan 2019, 11:42 am by Benjamin Keane
While many spent the final days of 2018 taking a much-needed break, the Securities and Exchange Commission [read post]
Pay to Play Law Blog - https://www.paytoplaylawblog.com/
Digital Asset Securities Regulation: A Petition for Rulemaking from Coinbase
1 Aug 2022, 6:32 am
Securities and Exchange Commission (“Commission” or “SEC”) requesting that the [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Gives Registered Investment Advisers More Time to Bring Themselves Into Compliance with the “Pay-to-Play” Ban on Third-Party Solicitation
19 Jun 2012, 6:34 am by Benjamin Keane
For more than two years, this blog has been covering the Securities and Exchange Commission’s foray [read post]
Pay to Play Law Blog - https://www.paytoplaylawblog.com/