The Need for Robust SEC Oversight of SROs, by Commissioner Luis A. Aguilar, on May 8, 2013 The Need for Robust SEC Oversight of SROs ...
SEC Speech: Statement at SEC Open Meeting – Proposed Rules Relating to Cross-Border Security-Based Swap Activities by Commissioner Daniel M. Gallagher, on May 1, 2013 ...
Speech by SEC Commissioner: Working to Increase Transparency and Reduce Systemic Risks Caused by the Global Derivatives Market, by Commissioner Luis A. Aguilar, on May ...
Institutional Investors: Power and Responsibility, by Commissioner Luis A. Aguilar, on April 19, 2013 Institutional Investors: Power and Responsibility by Commissioner Luis A. Aguilar U.S. ...
This SEC rule is designed to protect against a client's identity being stolen
SEC Speech: Doing the Right Thing: Compliance That Works for Investors, by Commissioner Luis A. Aguilar, on April 18, 2013 Doing the Right Thing: Compliance ...
Remarks at the SEC 2013 Spring International Institute for Securities Market Development, by Commissioner Daniel M. Gallagher, on April 15, 2013 Remarks at the SEC ...
SEC Speech: Outmanned and Outgunned: Fighting on Behalf of Investors Despite Efforts to Weaken Investor Protections, by Commissioner Luis A. Aguilar, on April 16, 2013 ...
Remarks at The 2013 National Compliance Outreach Program for Broker-Dealers, by Commissioner Daniel M. Gallagher, on April 9, 2013 Remarks at The 2013 National Compliance ...
This is a joint SEC and CFTC final rule, promulgated in 2013, to prevent identity theft. It's called the Identity Theft Red Flags Rules.