Securities & Exchange Commission (SEC)
More Securities & Exchange Commission (SEC) Articles
Securities & Exchange Commission (SEC)
Reminder: Rule 13h-1 (the Large Trader Reporting Rule) Compliance Date Is December 1, 2011; Effective Date Was October 3, 2011
On October 3, 2011, the Securities and Exchange Commission’s (the “SEC”) Rule 13h-1 (the “Rule”) became effective. The Rule, which was adopted on July 26, 2011, under Section 13(h) of the Securities and Exchange Act of 1934, as amended, establishes a new reporting...
Read MoreSecurities & Exchange Commission (SEC)
Exchange-Traded Funds: Navigating The Regulatory Maze
Editor: You joined Stradley recently after more than 13 years in the Division of Investment Management at the Securities and Exchange Commission. What prompted you to make the change? Mundt: I loved my work at the SEC. I was very committed to its mission of investor protection and...
Read MoreSecurities & Exchange Commission (SEC)
Heath Tarbert On Dodd-Frank Compliance Issues
Editor: The Dodd-Frank Act presents many new regulatory compliance changes for the financial sector, but also to public companies that had little or nothing to do with the financial crisis. Do you think these "reforms" will provide more benefits than costs? Tarbert: Obviously, the...
Read More