Article 17 Feb 2014 SEC Updates Guidance On Definition Of "Knowledgeable Employee" Under The Investment Company Act United States Commercial
Article 11 Feb 2014 SEC Provides Relief From Broker-Dealer Registration To Private M&A Brokers United States Commercial
Article 10 Dec 2013 Staff Of SEC’s Division Of Corporation Finance Issues Interpretations Of "Bad Actor" Rule United States Commercial
Article 29 Jul 2013 SEC Approves JOBS Act Mandated Rule To Lift General Solicitation Ban, Adopts Rule To Disqualify Bad Actors From Certain Offerings And Proposes Rule Amendments To Enable The SEC To Monitor The Private Offering Market United States Commercial
Article 20 May 2013 SEC Proposes Rules For Cross-Border Security-Based Swap Transactions United States Finance
Article 01 May 2013 New SEC & CFTC Rules Regarding Identity Theft Programs For Private Fund Advisers United States Commercial
Article 17 Apr 2013 Current SEC Broker-Dealer Registration Issues Concerning Private Investment Funds United States Commercial
Article 07 Mar 2012 Research Analyst Conflict Of Interest: Extending The Rules To Debt Research United States Commercial