Connecting the Data Dots: Sapient’s Jim Bennett Talks Compliance Reporting
BROKER-DEALER - SEC Requests Public Comment on Improving Private Security Offering Exemptions - On June 18, the Securities and Exchange Commission requested public comment on ways to simply harmonize and improve the...more
In This Issue: Launching an Exempt Structured Products Program in the United States: Issues for Non-U.S. Banks to Consider; “Big-Boy Letters” Revisited: Pharos Decision Upheld by the Sixth Circuit.; SEC Addresses...more