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SEC Files Brief in Conflict Minerals Rehearing

By Steve Quinlivan on 12/08/2014

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First Issuer Completes NASAA Coordinated Review Program

By Steve Quinlivan on 12/06/2014

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Court Says SEC Wrong to Permit Exclusion of Shareholder Proposal

By Steve Quinlivan on 12/05/2014

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Rule 506 Bad Actor Waivers – The New Normal?

By Steve Quinlivan on 12/05/2014

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OFR Annual Report Highlights Some Increasing Threats to Financial Stability

By Steve Quinlivan on 12/04/2014

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Whole Foods Can Exclude Proxy Access Proposal

By Steve Quinlivan on 12/03/2014

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Loan Syndicators Sue to Invalidate Risk Retention Rules

By Steve Quinlivan on 11/26/2014

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CFTC Gives Treasury Affiliates More Relief From Clearing Requirements

By Steve Quinlivan on 11/26/2014

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CFTC Grants Family Offices Relief From Registration as Commodity Trading Advisors

By Steve Quinlivan on 11/25/2014

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CFTC Proposes Important Clarification on Forward Contracts with Embedded Volumetric Optionality

By Steve Quinlivan on 11/22/2014

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Continue Reading CFTC Proposes Important Clarification on Forward Contracts with Embedded Volumetric Optionality