SEC Proposes Consolidated Audit Trail
Editor's Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP. This post is based on a Davis Polk client memorandum. The Securities and Exchange...
View ArticleOn the Regulation of Investment Advisory Services
Editor’s Note: The following post comes to us from James Angel of the Department of Finance at Georgetown University. In the paper, On the Regulation of Investment Advisory Services: Where Do We Go...
View ArticleThe Final Rules for Consolidated Audit Trail
Editor’s Note: Elisse B. Walter is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Walter’s statement at a recent open meeting of the SEC, which is...
View ArticleEffective Consolidated Audit Trail: Keeping the Door Open
Editor’s Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Walter’s statement at a recent open meeting of the SEC, which is...
View ArticleTime for a Fresh Look at Equity Market Structure and Self-Regulation
Editor’s Note: Daniel M. Gallagher is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on a statement from Commissioner Gallagher, available here. The views expressed...
View ArticleBecoming the Fifth Branch
Editor’s Note: M. Todd Henderson is Professor of Law and Aaron Director Teaching Scholar at the University of Chicago Law School, and William A. Birdthistle is Associate Professor of Law and Freehling...
View ArticleThe Need for Robust SEC Oversight of SROs
Editor’s Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on a statement by Commissioner Aguilar; the full text, including footnotes, is...
View ArticleSEC Proposes Consolidated Audit Trail
Posted by Annette L. Nazareth, Davis Polk & Wardwell LLP, on Sunday, July 4, 2010 Editor's Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP....
View ArticleOn the Regulation of Investment Advisory Services
Posted by R. Christopher Small, Co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Friday, November 25, 2011 Editor's Note: The following post comes to us from James Angel of the...
View ArticleThe Final Rules for Consolidated Audit Trail
Editor’s Note: Elisse B. Walter is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Walter’s statement at a recent open meeting of the SEC, which is...
View ArticleEffective Consolidated Audit Trail: Keeping the Door Open
Editor’s Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Walter’s statement at a recent open meeting of the SEC, which is...
View ArticleTime for a Fresh Look at Equity Market Structure and Self-Regulation
Editor’s Note: Daniel M. Gallagher is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on a statement from Commissioner Gallagher, available here. The views expressed...
View ArticleBecoming the Fifth Branch
Posted by M. Todd Henderson, University of Chicago Law School, on Tuesday, April 2, 2013 Editor's Note: M. Todd Henderson is Professor of Law and Aaron Director Teaching Scholar at the University of...
View ArticleThe Need for Robust SEC Oversight of SROs
Posted by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission, on Thursday, May 9, 2013 Editor's Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange...
View ArticleSEC Proposes Consolidated Audit Trail
Posted by Annette L. Nazareth, Davis Polk & Wardwell LLP, on Sunday, July 4, 2010 Editor's Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP....
View ArticleOn the Regulation of Investment Advisory Services
Posted by R. Christopher Small, Co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Friday, November 25, 2011 Editor's Note: The following post comes to us from James Angel of the...
View ArticleThe Final Rules for Consolidated Audit Trail
Editor’s Note: Elisse B. Walter is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Walter’s statement at a recent open meeting of the SEC, which is...
View ArticleEffective Consolidated Audit Trail: Keeping the Door Open
Editor’s Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Walter’s statement at a recent open meeting of the SEC, which is...
View ArticleTime for a Fresh Look at Equity Market Structure and Self-Regulation
Editor’s Note: Daniel M. Gallagher is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on a statement from Commissioner Gallagher, available here. The views expressed...
View ArticleBecoming the Fifth Branch
Posted by M. Todd Henderson, University of Chicago Law School, on Tuesday, April 2, 2013 Editor's Note: M. Todd Henderson is Professor of Law and Aaron Director Teaching Scholar at the University of...
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