SEC/CORPORATE -
SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants -
On May 9, the Securities and Exchange Commission adopted the proposed new rules and related amendments to auditing standards...more
In this issue:
- SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation
- SEC Division of Corporation Finance Issues C&DIs Relating to Accredited Investor...more
7/14/2014
/ Accredited Investors ,
Audits ,
C&DIs ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
General Solicitation ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Proxy Advisors ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Verification Requirements
On April 7, the Division of Corporation Finance of the Securities and Exchange Commission issued nine new responses to frequently asked questions regarding the disclosure of conflict mineral usage that is required by rules...more
In this issue:
- NASDAQ Launches Marketplace for Private Companies
- SEC Proposes Rules to Enhance Oversight of Clearing Agencies
- FINRA Proposes to Amend Rules 2210 and 2214
- CME Group Exchanges...more