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Expanding Oversight: SEC Proposes Amendments to Rule 15b9-1
22 Apr 2015, 6:02 am by Harvard Law School Forum on Corporate Governance and Financial Regulation
Owens, partner in the securities practice at Wilmer Cutler Pickering Hale and Dorr LLP, and is based [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Mark Uyeda Sworn in for Second Term as SEC Commissioner
3 Jan 2024, 9:40 am by Mark Astarita
Securities and Exchange Commission Commissioner Mark T. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Commissioner Abroad
5 Aug 2010, 10:38 pm by Dan Ernst
The Securities and Exchange Commission Historical Society has just posted online a diary kept by Norman [read post]
Legal History Blog - http://legalhistoryblog.blogspot.com/
SEC Charges Crypto Market Maker as Unregistered Dealer
4 Nov 2024, 10:00 pm
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market [read post]
As Prescribed - https://www.morganlewis.com/blogs/asprescribed
SEC Charges Crypto Market Maker as Unregistered Dealer
4 Nov 2024, 10:00 pm
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market [read post]
ML BeneBits - https://www.morganlewis.com/blogs/mlbenebits
SEC Charges Crypto Market Maker as Unregistered Dealer
4 Nov 2024, 10:00 pm
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market [read post]
Power & Pipes - https://www.morganlewis.com/blogs/powerandpipes
SEC Charges Crypto Market Maker as Unregistered Dealer
4 Nov 2024, 10:00 pm
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market [read post]
Up & Atom - https://www.morganlewis.com/blogs/upandatom
SEC Charges Crypto Market Maker as Unregistered Dealer
4 Nov 2024, 10:00 pm
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market [read post]
Well Done - https://www.morganlewis.com/blogs/welldone
SEC Charges Crypto Market Maker as Unregistered Dealer
4 Nov 2024, 10:00 pm
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market [read post]
Tech & Sourcing @ Morgan Lewis - https://www.morganlewis.com/blogs/sourcingatmorganlewis
Usana Health Sciences files 10-Q without auditor review
9 Aug 2007, 2:16 pm
According to the Securities and Exchange Commission rules, a public company is required to have an auditor [read post]
The FRAUDfiles Blog - http://www.sequenceinc.com/fraudfiles
SEC Proposes Rules for the Registration and Regulation of Security-Based Swap Execution Facilities
6 Apr 2022, 8:00 am by Mark Astarita
The Securities and Exchange Commission today proposed new Regulation SE under the Securities Exchange [read post]
Securities Law Blog - http://seclaw.blogspot.com/
U.S. Court of Appeals Narrows Application of Conflict Minerals Rules
1 May 2014, 5:14 am by Morse, Barnes-Brown Pendleton
Circuit struck down a portion of the “conflict minerals” rules promulgated by the Securities [read post]
MBBP's Good Company - http://blogmbbp.wordpress.com
US Supreme Court Curtails Availability of SEC In-House Proceedings
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
Power & Pipes - https://www.morganlewis.com/blogs/powerandpipes
US Supreme Court Curtails Availability of SEC In-House Proceedings
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
As Prescribed - https://www.morganlewis.com/blogs/asprescribed
US Supreme Court Curtails Availability of SEC In-House Proceedings
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
Tech & Sourcing @ Morgan Lewis - https://www.morganlewis.com/blogs/sourcingatmorganlewis
US Supreme Court Curtails Availability of SEC In-House Proceedings
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
Up & Atom - https://www.morganlewis.com/blogs/upandatom
US Supreme Court Curtails Availability of SEC In-House Proceedings
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
Well Done - https://www.morganlewis.com/blogs/welldone
US Supreme Court Curtails Availability of SEC In-House Proceedings
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
ML BeneBits - https://www.morganlewis.com/blogs/mlbenebits
Role of Academics and Industry in Improving Equity Market Structure
21 Mar 2015, 5:54 pm by Sabrina I. Pacifici
Securities and Exchange Commission, on March 21, 2015. “Editor’s Note: Michael S. [read post]
beSpacific - http://www.bespacific.com/
Courtroom Showdown: Stocks & Bonds Expert Witness Testimony Shapes SEC Fraud Case Outcome
14 Nov 2025, 5:47 pm by Jim Robinson
In the recent case of Securities and Exchange Commission v. Jacobson et al, No. 2:2023cv05650 (E.D. [read post]
Expert Witness Blog - http://www.expertwitnessblog.com/