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Searching Content indexed under Securities by Mayer Brown ordered by Published Date Descending.
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Senior Safe Act Fact Sheet
On May 23, 2019, the one-year anniversary of the Senior Safe Act's (the "Act") enactment, the SEC, the North American Securities Administrators Association (NASAA),
United States
12 Jul 2019
2
OCIE Issues Regulation S-P Risk Alert For Advisers And Broker-Dealers
Privacy and the safeguarding of customer information continues to be an important compliance topic from the SEC's perspective, including its examination staff.
United States
14 May 2019
3
Supreme Court Dismisses Securities Case Without Decision As Improvidently Granted
In a one-line per curiam order issued this morning, a unanimous Supreme Court declined to resolve a dispute, argued before the Court last Monday,over whether Section 14(e) of the Securities and Exchange Act of 1934
United States
9 May 2019
4
Supreme Court Docket Report - June 27, 2017
When a small business is teetering on the brink of insolvency, the owner of the business will sometimes infuse the business with cash, characterizing the transaction as a loan...
United States
4 Jul 2017
5
Supreme Court Decision Alert - June 26, 2017
Civil actions alleging violations of the Securities Exchange Act must be filed within "three years after the security was bona fide offered to the public."
United States
30 Jun 2017
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