Strengthening Oversight of Broker-Dealers by Instituting a Framework to Prevent Another Madoff Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission[1] July 31, 2013 The ...
Remarks at Society of Corporate Secretaries & Governance Professionals by Commissioner Daniel M. Gallagher, on July 11, 2013 Remarks at Society of Corporate Secretaries & ...
Addressing Investor Risks in the Retail Forex Business, by Commissioner Luis A. Aguilar, on July 11, 2013 Addressing Investor Risks in the Retail Forex Business ...
This is the SEC's final rule from 2013 removing the ban on solicitation for certain private fund offerings under rule 506.
This is a 2013 proposal from the SEC to amend Form D to include more disclosure from private fund issuers. This is tied to the ...
This final rule from the SEC in 2013 would prevent so-called “bad actors” from taking advantage of new freedoms to advertise general solicitations of private ...
Statement at Open Meeting, by Commissioner Luis A. Aguilar, on July 10, 2013 Statement at Open Meeting by Commissioner Luis A. Aguilar U.S. Securities and ...
Statement at Open Meeting regarding Proposed Amendments to Regulation D, Form D and Rule 156 under the Securities Act by Commissioner Daniel M. Gallagher, on ...