Search results with tag "Securities law"
45th Annual Securities Regulation Institute
www.law.northwestern.eduCarole Silver, Professor of Global Law & Practice, Northwestern Pritzker School of Law, Chicago 12:45–1 p.m. | Boxed Lunch Break 1–2 p.m. | Everything You Always Wanted to Know About Securities Law
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 229, …
www.sec.govCongress enacted the federal securities laws to promote fair and transparent securities markets, “avoid[] frauds,” and “substitute a philosophy of full disclosure for the philosophy of caveat emptor and thus to achieve a high standard of business ethics in 1the securities industry.”
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 …
www.sec.govperformance of their duties under the federal securities laws or the rules and regulations ... Office of Derivatives Policy, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-8010. ... (Feb. 19, 2019); Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major ...