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SEC Calls For Adoption of Robust Business Continuity and Transition Plans By Investment Advisers

USA - June 30 2016 Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940 have generally…

Steven W. Day.

Making sense of "Tippee" liability for insider trading as Supreme Court declines review in U.S. v. Newman

USA - November 3 2015 On October 5, 2015 the United States Supreme Court declined to review United States v. Newman, et al. (Newman), a December 14, 2014 federal appeals…

Virginia A. Davidson.

Financial Crimes Enforcement Network proposal would mandate investment adviser anti-money laundering programs

USA - August 27 2015 Institutions, including banks and securities broker-dealers, are subject to requirements imposed by the Bank Secrecy Act (BSA) which, among other…

Gerald A. Monroe.

Challenges to SEC in-house courts intensify as federal appellate courts are poised to determine constitutional validity

USA - August 13 2015 The in-house Administrative Court system increasingly relied upon by the United States Securities and Exchange Commission (SEC) in which to bring…

Virginia A. Davidson.

Will SEC finally nix IFRS in the United States?

USA - May 18 2015 In August 2008 the U.S. Securities and Exchange Commission (SEC) published a proposed "Roadmap" for the adoption of International Financial Reporting…