Results tagged “SEC”

FINRA's Fines
By Hester Peirce, June 20, 2014

Designating in the Dark
By Hester Peirce, May 17, 2014

Regulators on the Beat
By Hester Peirce, April 4, 2014

Advice with Borders
By Hester Peirce, February 22, 2014

Striving for Justice
By Hester Peirce, February 4, 2014

100 Days at the SEC
By Hester Peirce, November 29, 2013

SEC Proposes Crowdfunding Rules under the JOBS Act
By Jonathan B. Wilson, October 26, 2013

SEC Announces Meeting to Propose Crowdfunding Rules
By Jonathan B. Wilson, October 22, 2013

Bi-Partisan Group of Senators Writes to SEC to Demand Crowdfunding Action
By Jonathan B. Wilson, October 21, 2013

New Column by Walter Olson: SEC Unveils Expensive Rule on CEO Pay Ratio
By Isaac Gorodetski, October 21, 2013

SEC Chairman Speaks Again
By Hester Peirce, October 18, 2013

Rumored SEC Proposal Would Ease Requirement for Investor Income Verification
By Jonathan B. Wilson, October 18, 2013

SEC Chairman Speaks
By Hester Peirce, October 10, 2013

FINRA & MSRB Embrace Economics
By Hester Peirce, September 30, 2013

SEC Extends Deadline for Comments on Form D Amendments
By Jonathan B. Wilson, September 30, 2013

Stockpiling Penalties
By Hester Peirce, September 26, 2013

SEC Steps Further Away from Its Mission
By Hester Peirce, September 18, 2013

When Will the SEC Act on Crowdfunding?
By Jonathan B. Wilson, September 3, 2013

SEC Approach to JOBS Act Creates Confusion
By Jonathan B. Wilson, August 30, 2013

Regulatory Complicity in Nasdaq's Troubles
By Hester Peirce, August 27, 2013