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SEC Recommends Major Changes In Municipal Securities Market
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GAO Publishes Report On Factors That May Affect Trends In Regulation A Offerings
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SEC Addresses Extraordinary Volatility In Stock Market
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The JOBS ACT: SEC Guidance On The Changes To The Registration And Deregistration Requirements Under The Exchange Act
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The JOBS Act: SEC Guidance On The Confidential Submission Process
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JOBS ACT BECOMES LAW AND SEC ISSUES GUIDANCE: The JOBS Act Reforms The Regulatory Scheme Governing The Offering Of Securities
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FINRA Adopts New Regulations to Address the Allocation, Pricing and Trading of New Issues
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FINRA Proposes Amendments To The Rule Governing Member Firm Participation In Private Placements
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FINRA Proposes Amendments to the Rule Governing Member Firm Participation in Private Placements
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SEC Proposes Say-On-Pay Rules
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Supreme Court Addresses the Constitutionality of Public Company Accounting Oversight Board - PCAOB Actions, Enforcement Proceedings, and Investigations Unaffected
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U.S. Supreme Court Addresses the Statute of Limitations for Private Federal Securities Fraud Claims – "Merck & Co. Inc., et al. v. Reynolds, et al.", Case No. 08-905, U.S. Supreme Court, April 27, 2010
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FinCEN and Six Other Federal Regulators Issue Joint Guidance on Anti-Money Laundering Compliance
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22 Mar 2010
First Circuit Dismisses SEC’s Theory Of Liability Under Rule 10b-5(b) For Underwriters
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SEC Proposes Amendments To Rule 10b-18 Safe Harbor For Issuer Repurchases – "Significant Implications For SPAC Acquisitions"
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02 Mar 2010
SEC Adopts Short Sale Price Restrictions
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SEC Proposes Amendments To The Investment Advisers Act Custody Rule
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21 Aug 2009
SEC Director Of Enforcement Discusses Changes Within The Division
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12 Aug 2009
FINRA’s Trade Reporting Rule Amendments Become Effective