Effective Small Business Capital Formation Requires Investor Protection to Foster Investor Confidence, by Commissioner Luis Aguilar, on November 15, 2012 Effective Small Business Capital Formation ...
This is the SEC's list of firms that must file a new Form ADV or a withdrawal notice via Form ADV-W by Dec. 17, 2012 ...
Taking a No-Nonsense Approach to Enforcing the Federal Securities Laws, by Commissioner Luis Aguilar, on October 18, 2012 Taking a No-Nonsense Approach to Enforcing the ...
Protecting our Economy Demands Adequate Capital and Margin Requirements for Security-Based Swaps, by Commissioner Luis A. Aguilar, on October 17, 2012 Protecting our Economy Demands ...
This is a final rule released by the SEC in 2012 entitled Extension of Temporary Registration of Municipal Advisors that extends the temporary status through ...
Working to Achieve the American Dream Remarks to the Hispanic Bar Association of the District of Columbia, by Commissioner Luis Aguilar, on September 19, 2012
This is the SEC's proposal rule from 2012 to eliminate the prohibition against general solicitation and general advertising in rule 506 and rule 144A offerings. ...
Statement Regarding Money Market Funds, by Commissioner Luis A. Aguilar, on August 23, 2012 Statement Regarding Money Market Funds by Commissioner Luis A. Aguilar U.S. ...
Facilitating Transparency of Resource Revenue Payments to Protect Investors Facilitating Transparency of Resource Revenue Payments to Protect Investors by Commissioner Luis A. Aguilar U.S. Securities ...