SEC Speech: Continued Efforts to Improve the Regulation of Asset-Backed Securities, by Commissioner Luis A. Aguilar, on July 26, 2011 Speech by SEC Commissioner: Continued ...
SEC Speech: Opening Statement at SEC Open Meeting: Item 1 – Large Trader Reporting, by Chairman Mary Schapiro, on July 26, 2011 Speech by SEC ...
SEC Speech: Opening Remarks Regarding the Adoption of Large Trader Reporting Requirements, by Commissioner Elisse B. Walter, on July 26, 2011 Speech by SEC Commissioner: ...
SEC Speech: Opening Statement at SEC Open Meeting: Item 3 – Shelf-Eligibility Requirements for Asset-Backed Securities, by Chairman Mary Schapiro, on July 26, 2011 Speech ...
SEC Speech: Statement at Open Meeting: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants, by Commissioner Kathleen L. Casey, on Jun3 ...
Here's a tool-you-can-use if you're a private fund adviser trying to determine if you will have to register with the SEC. The law firm of ...
The U.S. Chamber of Commerce marked the one-year anniversary of Dodd-Frank by releasing a new report exposing what it regards as five major holes in ...
This Tuesday, SEC commissioners are scheduled to consider finalizing their proposal to require institutional managers that manage more than $100 million in assets to annually ...
The comments are in on the SEC's proposed rule from May on punishing securities offerings that include so-called “bad actors” or felons. Several of the ...
Although it may be unpleasant, think back to 2008 and the liquidity crisis that made valuation of some securities nearly impossible. As the trading desk ...