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Results:1-10 of 183

The financial report June 5, 2014 - discussion and analysis
  • DLA Piper
  • USA
  • June 5 2014

FINRA recently simplified two rules that are critical in the public offering process. FINRA's Corporate Financing Rule generally regulates


The financial report June 5, 2014 - news from the Americas
  • DLA Piper
  • USA, Canada
  • June 5 2014

According to Reuters, Thomas Sullivan, the former head of the Connecticut Insurance Department, will oversee non-bank systemically important


The financial report June 5, 2014 - global regulators
  • DLA Piper
  • Global
  • June 5 2014

The International Organization of Securities Commissions published a consultation report on the Strategic Framework for Investor Education and


The financial report June 5, 2014 - US Commodity Futures Trading Commission developments
  • DLA Piper
  • USA
  • June 5 2014

The CFTC published proposed rule amendments that would adjust the de minimis threshold for determining if an entity that enters into swaps with


The financial report June 5, 2014 - US exchanges and self-regulatory organizations
  • DLA Piper
  • USA
  • June 5 2014

The Financial Industry Regulatory Authority began providing data indicating the activity levels in each alternative trading system, including all


The financial report June 5, 2014 - US banking agency and Treasury Department developments
  • DLA Piper
  • USA
  • June 5 2014

The Office of the Comptroller of the Currency will establish a formal rotation program for all examiners and an enterprise risk management framework


The financial report June 5, 2014 - US judicial developments
  • DLA Piper
  • USA
  • June 5 2014

The US Court of Appeals for the Eleventh Circuit concluded that an entity controlled by the government of a foreign country that performs a function


The financial report June 5, 2014 - US Securities and Exchange Commission developments
  • DLA Piper
  • USA
  • June 5 2014

The SEC charged a charter school operator in Chicago with defrauding investors in a US$37.5 million bond offering for school construction by making


The financial report June 5, 2014 - news from Asia and the Pacific
  • DLA Piper
  • Asia-Pacific
  • June 5 2014

Japan’s Financial Services Agency issued guidance on the Financial Instruments and Exchange Act. (632014)


The financial report June 5, 2014 - news from Europe
  • DLA Piper
  • European Union
  • June 5 2014

The European Securities and Markets Authority opened registration for the three open hearings on MiFID IIMiFIR. The hearings will take place on July