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Searching Content indexed under Corporate and Company Law by Martín Estrada ordered by Published Date Descending.
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FINRA Reminds Firms To Engage With The SEC On Regulation Best Interest
On August 7, 2019, FINRA issued Regulatory Notice 19-26, which reminded member firms that Regulation Best Interest and the related Form CRS relationship summary were each adopted by the SEC on June 5, 2019.
United States
2 Sep 2019
2
Annual Review Of Federal Securities Regulation
The Annual Review of Federal Securities Regulation, prepared by the Subcommittee on Annual Review of the Committee on Federal Regulation of Securities of the ABA Business Law Section
United States
30 Aug 2019
3
Bills Promoting Board Diversity Advance In Congress
Earlier this month, the U.S. House Financial Services Committee passed, with overwhelming bi-partisan support, three bills to promote gender, racial and ethnic diversity on corporate boards.
United States
1 Aug 2019
4
Market Trends 2018/19: U.S. Tariff Policies
This market trends article identifies disclosures related to U.S. Tariff Policies that offer more detailed discussions on the actual and potential effects for the particular registrants and concludes with...
United States
19 Jun 2019
5
SEC Informal Guidance Scrutinized By Commissioner And Subject To OMB Memo
On April 8, 2019, Commissioner Hester Peirce of the Securities and Exchange Commission ("SEC") delivered a speech entitled "SECret Garden" at the Practicing Law Institute's 2019 SEC Speaks conference.
United States
13 May 2019
6
Heritage Foundation Hosts Discussion On The JOBS Act
On October 23, 2018, the Heritage Foundation hosted a discussion entitled, "Problems with the JOBS Act and How They Can Be Fixed" that featured University of Kentucky College of Law Professor...
United States
21 Nov 2018
7
FinCEN's Beneficial Ownership Requirement
Effective May 11, 2018, final rules adopted by the Financial Crimes Enforcement Network, or FinCEN, under the Bank Secrecy Act require "covered financial institutions" (e.g., federal regulated banks, federal insured credit unions, mutual funds, broker dealers, futures commission merchants) ,,
United States
1 Aug 2018
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