SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to WorkersNovember 24, 2020
SEC Proposes Temporary Rules to Facilitate Measured Participation by Certain “Platform Workers” in Compensatory Offerings Under Rule 701 and Form S-8November 24, 2020
SEC Issues Statement on European Central Counterparties Seeking to Register or Request Exemptions From the SECNovember 23, 2020
SEC Adopts Amendments to Modernize and Enhance Management’s Discussion and Analysis and other Financial DisclosuresNovember 19, 2020
Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE’s Broker-Dealer Examination Program in the SEC’s New York Regional OfficeNovember 19, 2020
OECD Working Group on Bribery Issues Report Commending United States for Maintaining Leading Role in the Fight Against Transnational CorruptionNovember 17, 2020
SEC Charges Investment Advisory Firms and Broker-Dealers in Connection with Sales of Complex Exchange-Traded ProductsNovember 13, 2020
SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance MetricNovember 13, 2020
SEC Issues Agenda for Nov. 9 Meeting of the Small Business Capital Formation Advisory CommitteeNovember 3, 2020
