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Statement at SEC Open Meeting On Money Market Fund Reform
Statement at Open Meeting on Regulation SCI
Securities and Exchange Commission 17 CFR Part 232 [Release Nos. 33-8255; 34-48204; 35-27700; 39-2409; IC-26013] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual Agency: Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26985; File No. S7-03-04]RIN 3235-AJ05Investment Company GovernanceAGENCY:Securities and Exchange Commission.ACTION:Commission Response to Remand by Court of Appeals.SUMMARY:The ...
Statement on Asset-Backed Securities at SEC Open Meeting
FINRA is making clear, through a new rule change, that it can demand a wide array of documents from your firm, and compliance experts say ...
A Chicago Convention Center, LLC, Anshoo Sethi, and Intercontinental Regional Center Trust of Chicago, LLC (Release No. LR-22615; February 8, 2013) U.S. SECURITIES AND EXCHANGE ...
Dodd-Frank gave the SEC the authority to annually adjust the dollar thresholds for when advisers can charge clients performance—based fees. A new proposed rule issued ...
Remarks at the 2014 Municipal Finance Conference presented by The Bond Buyer and Brandeis International Business School
The Securities and Exchange Commission is proposing a new rule under the Investment Company Act of 1940 that would exempt exchange-traded funds (‘‘ETFs’’) from certain ...
8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq.: Lit. Rel. No. 22495 / September 27, 2012 U.S. SECURITIES AND EXCHANGE ...
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