Why is the SEC Wavering on Waivers? Remarks at the 37th Annual Conference on Securities Regulation and Business Law
The following discussion describes: (1) the current state of the municipal securities market and the recent developments that have begun to reshape it; (2) some ...
A significant percentage of the nation’s advisory firms call New England home. One snowstorm after another has battered the region lately. A total of ...
Another former SEC staffer is heading to FINRA (IA Watch, May 7, 2013). The SRO is taking steps to improve how it analyzes and uses ...
Investor Advisory Committee Opening Remarks
Statement on Passing of Former SEC Commissioner Harvey J. Goldschmid
Joint Dissenting Statement Concerning Modifications to Previously-Adopted Regulation SBSR
The firm sought an exemption under Rule G-37 of the MSRB and FINRA Rule 9610 from the prohibition from engaging in municipal securities business in ...
The proposed disclosure would be required in a proxy statement or information statement relating to an election of directors, whether by vote of security holders ...
Aligning the Interests of Company Executives and Directors with Shareholders