This technical correction to the SEC's pay-to-play rule, published in May 2012, makes clear that covered associate refers to applies to an individual and not ...
Advocating for Greater Federal and State Securities Regulatory Cooperation and Collaboration Advocating for Greater Federal and State Securities Regulatory Cooperation and Collaboration by Commissioner Luis ...
Defining Security-Based Swap Dealers and Major Security-Based Swap Participants Defining Security-Based Swap Dealers and Major Security-Based Swap Participants by Commissioner Luis A. Aguilar U.S. Securities ...
Statement by Commissioner Luis A. Aguilar: Defrauded Investors Deserve Their Day in Court, on April 11, 2012 Statement by Commissioner: Defrauded Investors Deserve Their Day ...
These are technical amendments to the accredited investor standard under Regulation D.
Speech by Commissioner: Why Seniors Are More Vulnerable Now As Targets for Financial Abuse by Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission The ...
Investor Protection is Needed for True Capital Formation, by Commissioner Luis A. Aguilar, on March 16, 2012 Investor Protection is Needed for True Capital Formation ...
Shining a Light on Expenditures of Shareholder Money Shining a Light on Expenditures of Shareholder Money by Commissioner Luis A. Aguilar U.S. Securities and Exchange ...
This is a 2012 final rule from the SEC amending the rules for performance-based fees by advisers, another change sparked by the Dodd-Frank reform law.