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Securities Exchange Act › Wells Notice

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Dorsey & Whitney LLP

Deadlines And SEC Enforcement: When 180 Days Is Not 180 Days

Dorsey & Whitney LLP on

When does a 180 day deadline not mean that in 180 days time is up? Answer: When the SEC says so and the DC Circuit gives the conclusion Chevron deference. That is the holding of Montford and Company, Inc. v. SEC, No. 14-1126...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Disclosure and Collateral Consequences of Enforcement Actions for Regulated Financial Services Firms"

Skadden, Arps, Slate, Meagher & Flom LLP on

Financial services firms facing enforcement proceedings at the hands of the U.S. Securities and Exchange Commission (SEC) or any other financial industry regulator must consider disclosure obligations in the context of the...more

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