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SEC Adopts New Securities Lending Reporting Rule | Proskauer Rose LLP

October 30, 2023

On October 13, 2023, the Securities and Exchange Commission (the “SEC”) adopted new Rule 10c-1a (the “Securities Lending Rule”), requiring the reporting of certain securities lending...

United Kingdom Financial Industry Regulatory Authority Securities Exchange Exchange Commission Proskauer Rose National Market System Plan

Source: jdsupra.com

Colorado Division Of Securities Adopts New Investment Adviser Compliance Program Rule | Part 2 - Corporate and Company Law

October 26, 2023

This Part 2 describes, in detail, the requirements of new Rule 51-4.12(IA) ...

United States Investment Company Division Examination Priorities Division Of Securities Adopts New Exemption Exchange Commission See Colorado Division Of Securities

Source: mondaq.com

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SEC Adopts New Securities Lending Reporting Rule | Proskauer Rose LLP

Colorado Division Of Securities Adopts New Investment Adviser Compliance Program Rule | Part 2 - Corporate and Company Law

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