Carl Ayers
"Few things undermine trust in the markets more than insiders abusing their positions for personal advantage, such as by trading using material nonpublic information"
"As we work to advance this agenda, we greatly benefit from public input regarding the economics and the policies themselves"
"It’s because we oversee the U.S. securities markets and have a real role to ensure they remain the most efficient, competitive, and resilient in the ...
ECM failed to engage an independent public accountant to verify by actual examination at least once during each calendar year the REOC Funds’ funds and ...
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It may have taken 13 years, but the SEC has finally approved a rule Congress ordered it to promulgate in the 2010 Dodd-Frank law: prohibiting ...
Yet another new final rule from the SEC, tips to prepare for a cyber breach, the FBI wants your help and much more
Odds are your firm will suffer a computer breach, if it hasn’t already—and you may not even know it
"Regulation D, first adopted in the early 1980s, has become one of the most important exemptions for companies looking to raise capital outside of registration. ...
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