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NASAA Requests Comments on Proposed Policy Allowing Use of Electronic Offering Documents and Electronic Signatures

By Steve Quinlivan on 05/06/2016

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First Crowdfunding Portal Application Appears on EDGAR

By Steve Quinlivan on 05/02/2016

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Fair Access to Investment Research Act of 2016 Passes Muster in U.S. House of Representatives

By Steve Quinlivan on 05/02/2016

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OFR Analyzes Changes in Regulatory Use of Credit Ratings Since Dodd-Frank

By Steve Quinlivan on 04/24/2016

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New Proposed Rules on Banker Incentive Compensation Released

By Steve Quinlivan on 04/21/2016

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GAO Says Financial Regulatory Structure is Fragmented and Inefficient

By Steve Quinlivan on 03/29/2016

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SEC Brings First Ever Charges Against Municipal Advisors

By Steve Quinlivan on 03/15/2016

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T+2 Settlement Gathers Momentum

By Jill Radloff on 03/09/2016

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Three Bills Proposing Amendments to the Federal Securities Laws Gain Traction in Congress

By Steve Quinlivan on 02/03/2016

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House to (Again) Consider Bill to Exempt M&A Brokers from Exchange Act Registration

By David Jenson on 02/01/2016

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Continue Reading House to (Again) Consider Bill to Exempt M&A Brokers from Exchange Act Registration