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SEC Approves Nasdaq Board Diversity Proposal | BakerHostetler

SEC Approves Nasdaq Board Diversity Proposal | BakerHostetler
jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.

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SEC Approves Nasdaq's Plan to Improve Diversity on Company Boards | Holland & Knight LLP

SEC Approves Nasdaq's Plan to Improve Diversity on Company Boards | Holland & Knight LLP
jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.

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SEC Chair Gensler Highlights Gaps In Crypto Regulation - Technology

SEC Chair Gensler Highlights Gaps In Crypto Regulation - Technology
mondaq.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondaq.com Daily Mail and Mail on Sunday newspapers.

United States , Hesterm Peirce , Gary Gensler , Elizabeth Warren , Aspen National Security Forum , Investment Company , Chicago Mercantile Exchange Traded , Chair Gensler , Senator Elizabeth Warren , Commissioner Hester , ஒன்றுபட்டது மாநிலங்களில் , எலிசபெத் வாரன் , ஆஸ்பென் தேசிய பாதுகாப்பு மன்றம் , முதலீடு நிறுவனம் , செனட்டர் எலிசபெத் வாரன் , ஆணையர் ஹெஸ்டர் ,

Commissioner Peirce Offers Brookings Her Views On ESG - Corporate/Commercial Law

Commissioner Peirce Offers Brookings Her Views On ESG - Corporate/Commercial Law
mondaq.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondaq.com Daily Mail and Mail on Sunday newspapers.

United States , Allison Herren Lee , Brookings Institution , Commissioner Allison Herren , Commissioner Hester , ஒன்றுபட்டது மாநிலங்களில் , அல்லிசன் ஹெரன் லீ , ப்ரூக்கிங்ஸ் நிறுவனம் , ஆணையர் அல்லிசன் ஹெரன் , ஆணையர் ஹெஸ்டர் ,

SEC Decision Leaves Confusion on What Constitutes Broker Activity

Monday, July 12, 2021
As part of its continued enforcement focus on broker-dealer registration, the U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) recently settled an action with electronic order entry and management system Neovest, Inc. (“Neovest”) for engaging in “broker” activity and receiving “broker” compensation without being registered as a broker-dealer pursuant to Section 15(b) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”).
1 Both the settlement and the strong dissent from SEC Commissioner Hester Peirce leave market participants without meaningful guidance on what constitutes “broker” activity requiring registration. Technology providers that perform functions that could easily be characterized as facilitating ....

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