Search
Searching Content by Alexandra (Ali) Perry ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
IPO Prospectuses: Avoiding And Responding To Common SEC Comments
This practice note examines some of the issues most commonly raised in initial Securities and Exchange Commission (SEC) comment letters on registration statement filed for initial public offering (IPOs).
United States
29 Aug 2018
2
Components of Regulation Best Interest
On April 18, 2018, the Securities and Exchange Commission introduced a package of proposals aimed at enhancing the quality and transparency of investors' relationships with investment advisers and broker-dealers
United States
21 Jun 2018
3
Structured And Market-Linked Product News For Inquiring Minds (REVERSEinquiries: Volume 1, Issue 3)
In late May, the Federal Reserve approved the release for comment of proposed amendments to the Volcker Rule. The other four agencies that share in rulemaking authority for the rule ...
Worldwide
21 Jun 2018
Links to Result pages
 
1