Michael Hardin

Michael Hardin

Herbert Smith Freehills Kramer

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The SEC’s New Proposed Rule To Regulate Security-Based Swaps Raises Practical Concerns for the Industry and May Exceed the SEC’s...

On Dec. 15, 2021, the U.S. Securities and Exchange Commission (SEC or Commission) proposed Rule 240.9j-1 (the Rule), intended “to prevent fraud, manipulation, and deception in connection with effecting transactions in, or...more

3/10/2022  /  Disclosure Requirements , Dodd-Frank , Proposed Rules , Securities and Exchange Commission (SEC) , Securities Fraud , Security-Based Swaps
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