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Searching Content indexed under Securities by Diana Lo ordered by Published Date Descending.
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1
Republican State Parties Challenge SECís Pay-To-Play Rule
The New York Republican State Committee and Tennessee Republican Party filed a civil suit against the Securities and Exchange Commission.
United States
27 Aug 2014
2
SEC Releases Proposed Rule Amendments To Regulation A
On December 18, 2013, the Securities and Exchange Commission released its proposed rule amendments to Regulation A, which were required by Section 401 of the JOBS Act.
United States
3 Mar 2014
3
SEC Releases 2013 Examination Priorities
On February 21, 2013, the US Securities and Exchange Commission released its examination priorities for 2013.
United States
6 Mar 2013
4
Recent CFTC Changes And Looming Deadlines
Investment managers who invest in futures or swaps are reminded that important registration and/or filing deadlines with the U.S. Commodity Futures Trading Commission (the "CFTC") are quickly approaching.
United States
27 Nov 2012
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