21,181 results found

The Standards cover the scope of regulatory reform, registration requirements, capital standards for non-prudentially regulated DMIs, conduct of business standards, business supervision standards and recordkeeping standards.

On June 25, 2015, the International Organization of Securities Commissions published proposed recommendations and statements of practice on fees and expenses of investment funds.

This week, security token startup Harbor received a transfer agent license from the Securities and Exchange Commission (SEC).

No surprises. Given the tumult in the markets and investor anxiety over the quality of audits performed over the past 12 months... expect the hammer to drop as PCAOB (SEC) investigations pick up.

On Friday, the Securities and Exchange Commission announced that it had settled enforcement actions against five companies for violating the Regulation S-X requirement that interim financial statements included in quarterly reports on Form 10-Q be ..

SEC Chief Accountant Sagar Teotia reviewed domestic and international accounting and auditing developments in the capital markets.

SEC Acting Chairman Michael Piwowar, a Republican, and his lone counterpart, Commissioner Kara M. Stein, a Democrat, found common ground yesterday and amended the SEC's rules...

On November 18, the Federal Reserve Board, the FDIC and the OCC proposed clarifications to the revised regulatory capital rules adopted by the agencies in July 2013.

On November 20, 2020, the Staff of the SEC's Division of Corporate Finance, Division of Investment Management, and Division of Trading and Markets issued a statement.

On 1 December 2017, the SEC's Division of Corporation Finance released an updated version of its Accounting and Financial Reporting Manual.

WilmerHale lawyers Lee Greenfield, Hartmut Schneider and Jonathan Wright authored an article for the November 2023 edition of the CPI Antitrust Chronicle.

Unless the Securities and Exchange Commission (SEC) has a significant change of heart, the June 30 compliance date of its Regulation Best Interest (Reg BI) is almost upon us.

The Path Forward series, Ballard Spahr Of Counsel Rebecca Lawrence talks about how the COVID-19 pandemic has altered the market.

The Federal Reserve Board stated that it will begin providing monthly updates on liquidity and lending facilities which receive funding under the Coronavirus Aid, Relief, and Economic Security Act.

The SEC is rapidly responding to the ongoing COVID-19 crisis in ways big and small. For persons who are entering the SEC reporting system for the first time...

The North American Securities Administrators Association ("NASAA") offered state-by-state COVID-19 related regulatory information and relief provided in response to COVID-19.

The Coronavirus Aid, Relief, and Economic Security Act (H.R. 748) (the "CARES Act") implemented the Paycheck Protection Program through which small businesses and not-for-profit organizations

Regulation S-T requires that companies making filings with the SEC through EDGAR have in their possession a manually signed copy of every document at the time it is filed.