This is another Dodd-Frank inspired proposed rule from the SEC in 2011. This one, proposed jointly with the CFTC and other regulators, regarding the definitions ...
SEC Speech: The Abysmal Lack of Diversity in Corporate Boardrooms is Growing Worse (Commissioner Luis A. Aguilar; May 2, 2011) Statement by SEC Commissioner: The ...
SEC Speech: An Update on Diversity and Financial Literacy (Commissioner Luis A. Aguilar; April 30, 2011) Keynote Speech by SEC Commissioner: An Update on Diversity ...
This is a Dodd-Frank-related proposal from the SEC made in April 2011 that seeks to remove certain references to credit rating agencies in the Exchange ...
This is a multi-agency proposal, including the SEC, made in April 2011 concerning incentive-based compensation arrangements at certain financial firms. This Dodd-Frank inspired proposal would ...
This SEC proposal made in March 2011 would direct investment advisers and other “paying agents” to search for missing security holders.
This is the SEC's proposed rule released in March 2010 that would remove references to credit rating agencies in Investment Company rules and forms.
An SEC proposal for rules regarding the registration of municipal advisors.