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Category: Investor Protection
In a landmark move, the U.S. Securities and Exchange Commission (SEC) introduced a comprehensive set of rules to enhance investor protections. These new regulations focus on Special Purpose Acquisitio....
Qualification for a Regulation A (Reg A) filing is a critical step for companies seeking to raise capital through the sale of securities to the public without going through the rigour of a full-scale ....
Escheatment is frequently overlooked but incredibly important in the financial world, including for issuers. Escheatment refers to the legal process where unclaimed property or assets revert to the st....
The Securities and Exchange Commission (SEC) has recently approved amendments to the exemption from national securities association membership requirements. These changes aim to streamline the regulat....
The Securities and Exchange Commission (SEC) has taken significant steps to enhance the regulation of private fund advisers. With the adoption of new rules and amendments, the SEC aims to strengthen i....
The Securities and Exchange Commission (SEC) has taken a significant step forward in enhancing cybersecurity measures for public companies. With the adoption of new rules, the SEC aims to strengthen c....
In addition to Federal securities laws, states have their own securities regulations designed to protect investors which are referred to as Blue Sky Laws. Just like the SEC, states require securities ....