Yahoo Hacking Scandal And Obligations Related To Cybersecurity
On September 26, 2016, Senator Mark R. Warner (D-VA), a member of the Senate Intelligence and Banking Committees and cofounder of th...
Home Archive by Category "SEC" (Page 11)
The Division of Corporation Finance’s Disclosure Review And Comment Process
Those that regularly read my blog know that I sometimes like to go back to basics. This blog will revisit and discuss the SEC’s Divi...
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SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers”
On August 18, 2016, the SEC approved FINRA’s rules implementing a new category of broker-dealer called “Capital Acquisition Brokers”...
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SEC Spring 2018 Regulatory Agenda
On May 9, 2018, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office...
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The Financial Choice Act 2.0
On February 9, 2017, the Chair of the House Financial Services Committee issued a memo outlining changes to the Financial Cho...
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SEC Proposes Shortening Trade Settlement
On September 28, 2016, the SEC proposed a rule amendment to shorten the standard broker-initiated trade settlement cycle from three...
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SEC Advisory Committee On Small And Emerging Companies Holds Final Meeting
On September 13, 2017, the SEC Advisory Committee on Small and Emerging Companies (the “Advisory Committee”) held its final meeting...
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