US financial services regulation

US financial services regulation guidance:

Introduction to US financial services regulation The financial services industry in the US is heavily regulated by a myriad of different regulators at the state and...

Practice Note

The restriction on insider trading What is insider trading? Insider trading is usually associated with illegal conduct. However, the term actually includes both legal and...

Practice Note

State securities regulators Apart from the Securities and Exchange Commission (SEC), which is an independent government agency charged with administering the federal...

Practice Note

Background and purposes of the Securities Exchange Act The Securities Exchange Act of 1934 (the Exchange Act or the 34 Act) was enacted on June 6, 1934. Unlike the...

Practice Note

Securities and Exchange Commission (SEC) What is the SEC? The SEC was created under the Securities and Exchange Act of 1934. This Act also amended and strengthened the...

Practice Note