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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]
Well Done - https://www.morganlewis.com/blogs/welldone
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]
ML BeneBits - https://www.morganlewis.com/blogs/mlbenebits
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]
Tech & Sourcing @ Morgan Lewis - https://www.morganlewis.com/blogs/sourcingatmorganlewis
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/
Remarks by Chair Gensler before Columbia Law School Conference in Honor of John C. Coffee, Jr.
23 Mar 2024, 6:30 am
Securities and Exchange Commission, on Saturday, March 23, 2024 Editor's Note: Gary Gensler  [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Remarks by Chair Gensler before Columbia Law School Conference in Honor of John C. Coffee, Jr.
23 Mar 2024, 6:30 am
Securities and Exchange Commission, on Saturday, March 23, 2024 Editor's Note: Gary Gensler  [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
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]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange with Failing to Inform the Commission of a Cyber attack
22 May 2024, 8:30 am by jeffreynewmanadmin
The Securities and Exchange Commission today announced that The Intercontinental Exchange, Inc. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC Requests Comment on Issues Surrounding Exchange-Traded Products
15 Jun 2015, 7:43 am by John Jascob
ETPs traded on national securities exchanges and through secondary markets provide investors with exposure [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Regulation Best Interest
19 Jun 2019, 5:51 am
On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (Rule [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Amendments to Rules Governing Trading Plans and Insider Filings
26 Jan 2023, 6:30 am
On Dec. 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
The SEC Speaks (About Private Litigation and Transnational Securities Frauds)
12 Apr 2012, 7:26 pm by Lyle Roberts
As part of the Dodd-Frank Act, the Securities and Exchange Commission (SEC) was asked to solicit public [read post]
The 10b-5 Daily - https://10b5daily.com/
Strengthening Oversight of Broker-Dealers to Prevent Another Madoff
1 Aug 2013, 6:23 am by Luis A. Aguilar, 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/
SEC Adopts Amendments to Accredited Investor Definition
9 Nov 2020, 10:00 pm
The Securities and Exchange Commission (SEC) on August 26 adopted amendments (Amendments) to the &ldquo [read post]
As Prescribed - https://www.morganlewis.com/blogs/asprescribed
SEC Adopts Amendments to Accredited Investor Definition
9 Nov 2020, 10:00 pm
The Securities and Exchange Commission (SEC) on August 26 adopted amendments (Amendments) to the &ldquo [read post]
ML BeneBits - https://www.morganlewis.com/blogs/mlbenebits
SEC Proposes Equity Market Overhaul and Best Execution Rule
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring [read post]
Up & Atom - https://www.morganlewis.com/blogs/upandatom
SEC Proposes Equity Market Overhaul and Best Execution Rule
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring [read post]
As Prescribed - https://www.morganlewis.com/blogs/asprescribed
SEC Proposes Equity Market Overhaul and Best Execution Rule
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring [read post]
Tech & Sourcing @ Morgan Lewis - https://www.morganlewis.com/blogs/sourcingatmorganlewis
SEC Proposes Equity Market Overhaul and Best Execution Rule
13 Dec 2022, 10:00 pm
On December 14, 2022, the US Securities and Exchange Commission (SEC) proposed a fundamental restructuring [read post]
Power & Pipes - https://www.morganlewis.com/blogs/powerandpipes