Municipal Advisers Must Register With the SEC by October 1 By Steve Quinlivan on 09/02/2010 … Continue Reading Municipal Advisers Must Register With the SEC by October 1
You Received a Proxy Access Notice — Now What? By Jill Radloff on 09/01/2010 … Continue Reading You Received a Proxy Access Notice — Now What?
FDIC Commences Roundtable Discussions on the Dodd-Frank Act By Steve Quinlivan on 09/01/2010 … Continue Reading FDIC Commences Roundtable Discussions on the Dodd-Frank Act
micval33 CFTC Issues Final Rules on Retail Forex Trading By Steve Quinlivan on 09/01/2010 … Continue Reading CFTC Issues Final Rules on Retail Forex Trading
CFTC Seeks Across-the-Board Public Input on Rules By Steve Quinlivan on 08/31/2010 … Continue Reading CFTC Seeks Across-the-Board Public Input on Rules
micval33 SEC Warns Rating Agencies By Steve Quinlivan on 08/31/2010 … Continue Reading SEC Warns Rating Agencies
Whistleblower claims begin By Steve Quinlivan on 08/31/2010 … Continue Reading Whistleblower claims begin
Attention Public Companies-You Have About 60 Days to Understand the Proxy Access Rules By Steve Quinlivan on 08/26/2010 … Continue Reading Attention Public Companies-You Have About 60 Days to Understand the Proxy Access Rules
The SEC’s Difficult Task in Defining a “Venture Capital Fund” By Steve Quinlivan on 08/24/2010 … Continue Reading The SEC’s Difficult Task in Defining a “Venture Capital Fund”
Notice Requirements for Broker-Dealers By Steve Quinlivan on 08/24/2010 … Continue Reading Notice Requirements for Broker-Dealers