This 2013 final rule from the SEC creates a regulatory regime for municipal advisors. This is a Dodd-Frank reform. Some investment advisers that are SEC-registered ...
Statement at SEC Open Meeting � Adoption of Rules Regarding Municipal Advisor Registration Commission Daniel M. Gallagher SEC Open Meeting, Washington, D.C. Sept. 18, 2013 ...
Providing Context for Executive Compensation Decisions Commissioner Luis A. Aguilar SEC Open Meeting, Washington, D.C. Sept. 18, 2013 Today, the Commission takes an important step ...
Dissenting Statement of Commissioner Daniel M. Gallagher Concerning the Proposal of Rules to Implement the Section 953(b) Pay Ratio Disclosure Provision of the Dodd-Frank Act ...
These rules will not only serve to better protect municipalities and their citizens, but also retail investors. In fact, the vast majority of investors ...
Celebrating National Hispanic Heritage Month by Recognizing Achievements and Looking Ahead Commissioner Luis A. Aguilar Washington, D.C. Sept. 17, 2013 Federal Trade Commission National Hispanic ...
The Need for Effective Regulation of the Asset-Backed Securities Market Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission* Aug. 28, 2013 Today, the U.S. ...
Dissenting Statement of Commissioner Daniel M. Gallagher Concerning Re-Proposal of Rules Implementing the Credit Risk Retention Provisions of the Dodd-Frank Act Commissioner Daniel M.Gallagher U.S. ...
This 2013 rule from the SEC that requires broker-dealers to submit a new form tied to custody of assets.
This is a final rule released by the SEC in 2013 that outlines financial responsibilities for broker-dealers.