 |
|
|
|||||
Tag: sec
2021-03-01 18:11:44| Mondaq.Com
Issued October 7, 2020, the SEC's proposed exemptive order would make certain finders exempt from the obligation to be licensed to sell securities.
Tags
united
pc
states
united states
2021-02-24 08:23:28| Mondaq.Com
On January 8, 2021, the staff of the US Securities and Exchange Commission's ("SEC") Office of Municipal Securities ("OMS Staff") issued a statement focusing on the impact of the discontinuation of LIBOR on the municipal securities markets.
Tags
office
united
states
united states
2021-02-23 11:12:21| Mondaq.Com
The SEC issued an order permitting smaller broker-dealer firms an additional 30 days for filing annual reports.
Tags
united
states
united states
sec
2021-02-23 07:54:17| Mondaq.Com
On Feb. 2, 2021, the Securities and Exchange Commission (SEC) issued a cease-and-desist order settling charges against the former CEO and CFO of WageWorks Inc. (WageWorks, or the Company)...
Tags
united
states
united states
act
2021-02-19 13:35:28| Mondaq.Com
Democrats and Republicans are busy "lobbying" the SEC these days.
Tags
united
action
states
united states