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The Section 4(a)(1) And 4(a)(1½) Exemption; Recommendations For An Amendment To Rule 144 Related To Shell Companies

ABA Federal Regulation Of Securities Committee Makes Recommendations On Regulation S-K

SEC Congressional Testimony – Part 3

SEC Proposes Broadening Of Broker-Dealer Registration Rules To Include Proprietary And High-Frequency Traders

SEC Congressional Testimony– Part II

SEC Congressional Testimony- Part I

SEC Cracks Down On Confidentiality Agreements As Violating Whistleblower Rights And Protections

SEC Supports FINRA’s Rule 6490 Authority Over Corporate Actions

February 24, 2015

Shareholder Proposals And Procedural Requirements

January 20, 2015

SEC Announces Examination Priorities For 2015; Focus On Transfer Agents, Investment Advisers and Broker Dealers