Tariffs-Free Regulatory Importing? Jul. 2016

Tariffs-Free Regulatory Importing? Asad Akhtar Table of Authorities LEGISLATION Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub L No 111-203, § 748, 124 Stat. 1376 (2010). Sarbanes-Oxley Act, Pub. L. No. 107-204, § 806, 116 Stat. 745, 802-04 (2002). Securities Act, RSO 1990, c S-5. REGULATORY RULES & POLICIES Implementation of the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934, SEC File No. S7-33-10, (August 12, 2011). Proposed Framework for an OSC Whistleblower Program, OSC CP 15-401 38 OSCB 5 (2015). Proposed OSC Policy 15-601 - Whistleblower Program, OSC PP 15-601 (October 28, 2015). Revised Credit for Cooperation Program, OSC Staff Notice 15-702, 37 OSCB 2583 (2014). JURISPRUDENCE, REGULATORY PROCEEDINGS AND SETTLEMENTS Asadi v. G.E. Energy (USA), No. 4:12-345, 720 F.3d 620 (5th Cir. Tex. 2013). Citigroup Settlement, File No. 3-16757 (August 17, 2015). Committee for the Equal Treatment of Asbestos Minority Shareholders v OSC, 2001 SCC 37, 2 SCR 132. KBR Settlement, File No. 3-16466 (April 1, 2015). Paradigm Settlement, File No. 3-15930 (June 16, 2014). SEC v Citigroup, 752 F.3D 285 (2d Cir. 2014). SEC v Neo@Ogilvy LLC, No. 1:14, 73 F.3d 404 (2nd Cir. 2015). Settlement Agreement between Staff of the Commission and Ernst & Young LLP, OSC News Release (September 30, 2014). Settlement Agreement between Staff of the Commission and TD Entities, OSC News Release (November 13, 2014). Reference Re Securities Act, 2011 SCC 66, 3 SCR 837. 45

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