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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
SEC Adopts Regulation A+, Including State Preemption
Image: The SEC has adopted new rules that expand the Regulation A registration exemption. It enables smaller companies to offer and sell up to $50 million of securities in a 12-month period without registering with state-level securities regulators in certain situations. Massachusetts Secretary of State William Galvin expressed dismay for ...
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Trump takes another swing at controlling independent agencies
The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
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The Federal Reserve Board is seeking public comments on a regulatory framework that would more closely match the rules for foreign banks with the risks they pose to the U.S. financial system.