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Major Changes to 13D-13G Reporting Adopted by SEC | Bryan Cave Leighton Paisner

On October 10, 2023, the SEC adopted final amendments to Section 13(d) reporting obligations, including: ..Significantly accelerating filing deadlines . ....

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Statement On Modernization Of Beneficial Ownership Reporting, SEC Commissioner Mark T. Uyeda, Oct. 10, 2023

Statement On Modernization Of Beneficial Ownership Reporting, SEC Commissioner Mark T. Uyeda, Oct. 10, 2023
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SEC Proposes To Amend Broker-Dealer Customer Protection Rule Reserve Account Calculation Requirements | Perkins Coie

The U.S. Securities and Exchange Commission (SEC) proposed to amend Exchange Act Rule 15c3-3 (the Customer Protection Rule)[1] on July 12, 2023. If adopted, the proposed amendments. ....

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SEC Proposes To Amend Broker-Dealer Customer Protection Rule Reserve Account Calculation Requirements - Securities

The U.S. Securities and Exchange Commission (SEC) proposed to amend Exchange Act Rule 15c3-3 (the Customer Protection Rule)[1] on July 12, 2023. If adopted, the proposed amendments. ....

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SEC Swaps The Game: New Rules To Combat Fraud, Manipulation And CCO Undue Influence - Securities

The Securities Exchange Commission (SEC) adopted two new rules on June 7 aimed at preventing fraud and manipulation specific to security-based swap (SBS) transactions and the entities that trade. ....

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