SEC SEC Announces Examination Priorities For 2017 Laura Anthony, Esq.March 7, 2017 On January 12, 2017, the SEC announced its Office of Compliance Inspections and Examinations (OCIE) priorities for 2017. The OCIE ex... 026700
SECTransfer Agent RulesUncategorized SEC Proposes Transfer Agent Rules Laura Anthony, Esq.February 23, 2016 032900
Broker-DealerUncategorized SEC Announces Examination Priorities For 2015; Focus On Transfer Agents, Investment Advisers and Broker Dealers Laura Anthony, Esq.January 20, 2015 035300
Spin-Off Subsidiary Spin-Offs Laura Anthony, Esq.August 4, 2010 A subsidiary spin-off is a transaction where a parent corporation’s stock ownership of a subsidiary is distributed to the parent cor... 036900