'We are here to protect investors, and if they care, then we care,' Grewal says in Ohio State Law Journal speech
These new SEC final rules would require a minimum dissemination period for the distribution of security holder communication materials in connection with de-SPAC transactions, along ...
'All the little things matter,' Stamatoglou says in interview from Private Funds CFO's New York membership forum
'Healthcare markets are a key site' in battle to reshape American society, top trustbuster says
New guidance raises more questions than answers, will 'ruin someone's two months,' compliance consultant says
All advisers, even exempt reporting advisers, will be subject to the preferential treatment rule
'We want this to be something where the industry can... come up with solutions...'
'Boundless curiosity is wonderful in a small child,' Peirce says but ' a less attractive trait in regulatory agencies'
'Our primary goal is to provide relief'
The CFTC and the SEC finalize their amendments to Form PF. Firms would have one year at least to comply.