Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Thursday, July 3, 2014

The Securities Exchange Act Lawyer and Going Public

Going Public Lawyer Securities Lawyer 101 Blog The Securities Exchange Act of 1934 (the “Securities Exchange Act”) grants broad authority to the Securities and Exchange Commission (“SEC”) to oversee the securities industry. The SEC’s authority includes the power to register, regulate, and oversee brokerage firms, transfer agents, and clearing agencies; as well as securities self regulatory organizations (SROs), including the  Financial Industry Regulatory Authority... Read More Going Public Lawyer

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