This is the SEC final rule from June 2011 that spells out exemptions for venture capital funds, private fund advisers with fewer than $150 million ...
“Moving from Proposal to Implementation: The Changing Adviser Landscape” (Commissioner Luis A. Aguilar; June 22, 2011) Speech by SEC Commissioner: “Moving from Proposal to Implementation: ...
SEC Speech: An Inflection Point: The SEC and the Current Financial Reform Landscape, by Commissioner Luis A. Aguilar; June 10, 2011 Speech by SEC Commissioner: ...
Protecting Investors and Their Assets (Commissioner Luis A. Aguilar; June 15, 2011) Speech by SEC Commissioner: Protecting Investors and Their Assets by Commissioner Luis A. ...
This is an SEC proposed rule from June 2011 that would punish felons and so-called “bad actors” by disqualifying them from rule 506 offerings. This ...
This is the SEC's final rule under the Exchange Act expanding the agency's whistleblower program in accordance with Congress's wishes under Dodd-Frank. This was released ...
SEC Speech: Excluding Established Wrongdoers from Engaging in Rule 506 Transactions (Commissioner Luis A. Aguilar; May 25, 2011) Speech by SEC Commissioner: Excluding Established Wrongdoers ...
SEC Speech: Incentivizing Whistleblowers to Bring Fraud to Light (Commissioner Luis A. Aguilar; May 25, 2011) Speech by SEC Commissioner: Incentivizing Whistleblowers to Bring Fraud ...
Continuing to Improve the Quality, Transparency, and Reliability of Credit Ratings (Commissioner Luis A. Aguilar; May 18, 2011) Speech by SEC Commissioner: Continuing to Improve ...
This is an SEC proposal from 2011 that would remove the need to do certain credit ratings checks under the Exchange Act.