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Searching Content indexed under Securities by Bob Xiong ordered by Published Date Descending.
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Tracking State Crowdfunding Regulations
With the effectiveness of Regulation Crowdfunding in May 2016 and amended Securities Act Rule 147 and new Securities Act Rule 147A in April 2017...
United States
9 Nov 2017
2
The Financial Choice Act: Implications For The U.S. Securities Legal Framework
On September 13, 2016, the House Financial Services Committee of the United States House of Representatives (the "FSC") formally released H.R. 5983, the "Financial CHOICE Act".
United States
20 Sep 2016
3
Are Your Customer Accounts In Order? SEC Announces Sweep Of Broker-Dealers And Implementation Of The Customer Protection Rule Initiative
The SEC announced that it would begin a coordinated effort across divisions to identify potential violations by broker-dealers of Rule 15c3-3 under the Securities Exchange Act of 1934, as amended.
United States
1 Sep 2016
4
SEC Proposes Rules To Update Disclosure Requirements For Mining Registrants
On June 16, 2016, the Securities and Exchange Commission (the SEC) issued a press release proposing rules to modernize disclosures for mining properties...
United States
1 Jul 2016
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