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.
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.
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.
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)...
2021-02-19 13:35:28| Mondaq.Com
Democrats and Republicans are busy "lobbying" the SEC these days.