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Securities Exchange Act › Markets in Financial Instruments Directive

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 -
Morrison & Foerster LLP

ESG And Investment Managers

Morrison & Foerster LLP on

A Subcommittee of the SEC Investor Advisory Committee has issued a recommendation relating to ESG disclosures for issuers, and this was a focus at the Asset Management Advisory Committee on May 27. Not only did they raise...more

Latham & Watkins LLP

Alternative Data: Regulatory and Ethical Issues for Financial Services Firms to Consider - March 2020

Latham & Watkins LLP on

Not too long ago, an investment manager looking to invest in a company might conduct due diligence, attend investor relation calls, peruse quarterly or annual filings, and consider standard ratios such as price to earnings...more

Goodwin

Financial Services Weekly News Roundup - December 2014 #4

Goodwin on

Regulatory Developments - SEC Proposes Changes to Exchange Act Registration Requirements to Implement JOBS Act Mandates - The SEC announced that it is proposing rule amendments under the Securities Exchange Act...more

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