Speech by SEC Chairman: Remarks Before the Investment Company Institute's General Membership Meeting by Chairman Mary L. Schapiro U.S. Securities and Exchange ...
SEC Speech: Keynote Address at the National Federation of Municipal Analysts (NFMA) Twenty-Eighth Annual Conference (Commissioner Elisse B. Walter; May 4, 2011) Speech by SEC ...
Click here to download a Word template, courtesy of Aaron De Angelis of Spring Mountain Capital in New York, that can aid in the tracking ...
This is a copy of an SEC Enforcement Division sweep letter issued in 2011 to entities for an investigation of their relationships with sovereign wealth ...
This is an SEC proposal from 2011 that would remove the need to do certain credit ratings checks under the Exchange Act.
This is another Dodd-Frank inspired proposed rule from the SEC in 2011. This one, proposed jointly with the CFTC and other regulators, regarding the definitions ...
Click here to download a Word file from a peer that can serve as a new account compliance checklist.
Only days ahead of a public meeting to discuss swaps proposals, SEC commissioners unanimously approved a proposal to define what a swap is. It's expected ...
If your portfolio managers dabble in thinly traded securities, you may want to be on the lookout for heavy buying near a quarter's end as ...
If you could spend your entire day going from one committee meeting to another, you'd be able to map out your firm's issues like a ...