Recent questions tagged sec

0 votes

0 answers 26 views

Security-based Swap Execution -- SEC invites comments on proposed rules (by 6/10)

asked 9 days ago by Andrew Reamer (21.9k points)

0 votes

0 answers 64 views

SEC Proposes Rules for Registration/Regulation of Security-Based Swap Execution Facilities -- comments invited (by 6/10)

asked 1 month ago by Andrew Reamer (21.9k points)

0 votes

0 answers 55 views

SEC Proposes Rules for Special Purpose Acquisition Companies (SPACs)/Shell Companies -- comments invited (by 6/13)

asked 1 month ago by Andrew Reamer (21.9k points)

0 votes

0 answers 48 views

Elimination of Credit Rating References in SEC Regulations -- comments invited on proposed amdts (by 5/23)

asked 1 month ago by Andrew Reamer (21.9k points)

0 votes

0 answers 98 views

SEC Proposes Rules to Enhance/Standardize Climate-Related Disclosures for Investors -- comments invited (by 6/17)

asked 1 month ago by Andrew Reamer (21.9k points)

0 votes

0 answers 62 views

Alternative Trading Systems (ATSs) -- SEC invites comments on proposed rule revision (by 6/13)

asked 2 months ago by Andrew Reamer (21.9k points)

0 votes

0 answers 31 views

Short Position/Activity Reporting by Institutional Investment Mgrs -- SEC invites comments on proposed rule (by 4/26)

asked 2 months ago by Andrew Reamer (21.9k points)

0 votes

0 answers 84 views

SEC Proposes Rules on Cybersecurity Risk Mgt, Strategy, Governance, Incident Disclosure -- comments invited (by 5/9)

asked 2 months ago by Andrew Reamer (21.9k points)

0 votes

0 answers 80 views

SEC Proposes Short Sale Disclosure Rule -- invites comments (by 4/26)

asked 2 months ago by Andrew Reamer (21.9k points)

0 votes

0 answers 151 views

Share Repurchase Disclosure Modernization -- SEC invites comments on proposed rule (by 4/1)

asked 3 months ago by Andrew Reamer (21.9k points)

0 votes

0 answers 99 views

Pay vs. Performance -- SEC invites comments on 2015 proposed rule (by 3/4)

asked 3 months ago by Andrew Reamer (21.9k points)

0 votes

0 answers 51 views

SEC Investor Advisory Committee -- academic nominations invited (1/19/22)

asked 3 months ago by Andrew Reamer (21.9k points)

0 votes

0 answers 113 views

Updating EDGAR Filing Requirements -- SEC invites comments on proposed rule (by 12/22)

asked 5 months ago by Andrew Reamer (21.9k points)

0 votes

0 answers 80 views

Broker-Dealer/Investment Adviser Digital Engagement Practices + Technology Use -- SEC seeks info (by 10/1)

asked 8 months ago by Andrew Reamer (21.9k points)

0 votes

0 answers 141 views

SEC invites public input on climate change disclosure rules and standards (by 6/14)

asked 1 year ago by Andrew Reamer (21.9k points)

0 votes

0 answers 156 views

Money market funds -- SEC invites comments on proposed reform measures (by 4/12)

asked 1 year ago by Andrew Reamer (21.9k points)