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Tag: sec

United States: SEC Proposed Finder Rule Clarifies Little - Jones & Keller PC

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

United States: SEC Office Of Municipal Securities Issue Staff Statement On LIBOR Transition - Mayer Brown

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

United States: SEC Permits Filing Extension For Certain Broker-Dealers - Cadwalader, Wickersham & Taft LLP

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

United States: SEC Settlement Invokes Rarely Used Sarbanes-Oxley Act Provision Requiring Reimbursement Of Incentive Compensation - Kramer Levin Naftalis & Frankel LLP

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

United States: Senators Urge The SEC To Take Action - Cooley LLP

2021-02-19 13:35:28| Mondaq.Com

Democrats and Republicans are busy "lobbying" the SEC these days.

Tags united action states united states


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