21,175 results found

Broker Dealer, EB-5 Compliance, EB-5 Due Diligence, EB-5 Regional Center, FINRA, SEC

Joshua Horn's blog post, "Do You Want to Know 5 Things That Lead to a Culture of Compliance," originally posted the firm's Securities Compliance Sentinel, was mentioned as one of the top postings for October 12, 2015.

Sometimes enterprise risk management (ERM) takes on a whole new meaning. What used to be the checklist exercise accompanied by red, yellow, or green scorecards and a "remediation" plan...

On January 27, 2017, the Chief Operating Officer of the US Securities and Exchange Commission, Jeffrey Heslop, announced that he will depart the agency in February.

The Wall Street Journal reported that the SEC is developing a plan that would eliminate mandatory quarterly earnings reporting and instead...

A foreign banking organization agreed to pay $4.9 billion to resolve DOJ claims related to the underwriting and issuance of residential mortgage-backed securities between 2005 and 2008.

CalSTRS is considering a significant shift away from some stocks and bonds in one of the most aggressive moves by a major pension fund to safeguard against another downturn.

The Securities and Exchange Commission (the "SEC") recently published a notice relating to an application for exemptive relief filed by Precidian

On February 6, the staff of the SEC’s Division of Investment Management issued a no-action letter with respect to Rule 3c-5 of the Investment Company Act of 1940 that represents a substantial improvement over the existing guidance regarding the definition of "knowledgeable employees" thereunder.

The SEC proposed rules that would require resource extraction issuers to disclose payments made to the federal government or foreign governments for the commercial development of oil, natural gas or minerals...

On July 13, 2016, the Securities and Exchange Commission adopted rules focused on greater transparency in security-based swap transactions...

On April 29, the Securities and Exchange Commission published proposed rules that would require non-United States persons that use United States personnel to arrange.

On January 15, the Securities and Exchange Commission reopened the comment period for proposed amendments to rule 13n-4...

Extending the effectiveness of the no-action position it took in 2016, the SEC Division of Trading and Markets granted relief to certain broker-dealers

An upcoming SEC Equity Market Structure Advisory Committee ("EMSAC") meeting will focus on a Potential Access Fee Pilot program, recommendations related to market quality and market structure issues, and updates from the various subcommittees.

Frank Borger Gilligan and Adin Tarr unpack cybersecurity related disclosures, including disclosures on Forms 8K and 10K, in their DW FastTrack podcast "SEC's New Cyber Security Rules."

In a panel at the Securities and Exchange Commission's recent forum on Innovation in FinTech, experts discussed blockchain's potential role in corporate processes . . .