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Securities News Watch | Current Developments in Securities Laws
Current Developments in Securities Laws. Skip to primary content. Skip to secondary content. Are you a US private company looking for capital? Regulation A may be your answer. June 29, 2015. The amended Regulation A. Became effective on June 19, 2015, and the SEC has recently provided helpful guidance about it. On June 18, 2015, the SEC made available “ Amendments to Regulation A: A Small Entity Compliance Guide. A company with headquarters located in the United States or Canada, but whose business prima...
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Securities Operations – The Source For Securities Operations News
The Source For Securities Operations News. The Shift from T 3 to T 2. April 2, 2017. The new T 2 settlement standard is scheduled to go into effect on September 5, 2017, although This change will impact broker dealers, traders, portfolio managers, and perhaps most significantly firms involved in clearing, such as The Depository Trust and Clearing Corporation (DTCC). Further information is available on the SEC’s website, at: https:/ www.sec.gov/news/press-release/2017-68-0. The Shift from T 3 to T 2.
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