A Few Observations on Shareholders in 2015
This new Regulation SBSR, courtesy of the Dodd-Frank reforms, would, among other things, provide for the reporting of security-based swap information to registered security-based swap ...
This final rule from the SEC in 2015 establishes the new security-based swap data repository registration process called for by Dodd-Frank reforms.
This proposed SEC rule from 2015 would amend Regulation SBSR, the security-swap reporting rule, in several ways. For instance, it includes an exemption process from
registration ...
FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies ...
Statement on Jury Verdict in Willie Gault/Heart Tronics Case
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Remarks at the 2015 Mutual Funds and Investment Management Conference
Remarks at the University of Notre Dame, Mendoza College of Business, Center for the Study of Financial Regulation
Just as OCIE did last year before launching its cybersecurity initiative that visited some 100 firms (IA Watch, April 21, 2014), look for the agency ...