Requiring Disclosure to Increase Transparency Regarding the Sourcing of Conflict Minerals Requiring Disclosure to Increase Transparency Regarding the Sourcing of Conflict Minerals by Commissioner Luis ...
This is a final rule, released in July 2012 by the SEC and the CFTC that serves Dodd-Frank's desire to regulate derivatives. This rule further ...
“Smart Regulation: Keeping the Door Open for Effective Ideas” “Smart Regulation: Keeping the Door Open for Effective Ideas” by Commissioner Luis A. Aguilar U.S. Securities ...
Pension Funds as Owners and Investors: A Voice for Working Families, by Commissioner Luis A. Aguilar, on June 28, 2012 Pension Funds as Owners and ...
This final rule, released by the SEC in 2012, flows from Dodd-Frank and affects national securities exchanges and associations. It prohibits listing a stock of ...
This final rule, released in 2012, grows out of Dodd-Frank and lays out a process for submitting security-based swaps to the SEC for review.
This final rule extended the compliance deadline for the portion of the SEC's pay-to-play rule relating to the ban on third-party solicitation, but only for ...
Public Statement by Commissioner: Investor Voices Renewed: The New Investor Advisory Committee by Commissioner Luis A. Aguilar Investor Advisory Committee U.S. Securities and Exchange Commission ...
This is a joint SEC-CFTC rule, promulgated in 2012 from Dodd-Frank reforms, that sets out definitions for key terms. These include swap dealer, security-based swap ...