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31 May 2024, 12:31 pm
SEC final rule on reporting material cybersecurity incidents In July 2023, the US Securities and Exchange Commission (SEC) finalized its rule requiring public companies to disclose material cybersecurity incidents under Item 1.05 of Form 8-K. [read post]
31 May 2024, 11:27 am
” The SEC’s complaint charges Murray and Trillium with violating the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. [read post]
31 May 2024, 10:00 am
The Securities and Exchange Commission today charged Robert Scott Murray and Trillium Capital LLC, a private company controlled by Murray, with a fraudulent scheme to manipulate the stock price of Getty Images Holdings Inc. by announcing a phony offer by…Read the Full Press Release Have a securities law question? [read post]
31 May 2024, 8:13 am
Department of Commerce, Consumer Financial Protection Bureau, and the Securities and Exchange Commission regarding data and AI. [read post]
31 May 2024, 6:40 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on June 6, 2024, at 10 a.m. [read post]
31 May 2024, 5:26 am
Securities and Exchange Commission Chair Gary Gensler said the change will make the U.S. financial markets more resilient. [read post]
31 May 2024, 2:30 am
For example, this excerpt from the website’s discussion of the early days of the SEC provides a reminder that strong policy disagreements among commissioners are nothing new: The Securities Exchange Act required a bipartisan Commission. [read post]
30 May 2024, 3:22 pm
Enlarge (credit: Apu Gomes / Stringer | Getty Images News) After months of loudly protesting a subpoena, Elon Musk has once again agreed to testify in the US Securities and Exchange Commission's investigation into his acquisition of Twitter (now called X). [read post]
29 May 2024, 10:30 pm
To foster a true and efficient single market for trading, the Commission was of the view that the transparency and availability of market data had to be improved. [read post]
29 May 2024, 1:53 pm
The Securities and Exchange Commission instituted settled proceedings against formerly registered investment adviser Mass Ave Global Inc. [read post]
29 May 2024, 7:55 am
The Securities and Exchange Commission today instituted settled proceedings against formerly registered investment adviser Mass Ave Global Inc. [read post]
29 May 2024, 5:49 am
On May 15, 2024, the Securities and Exchange Commission (SEC) adopted amendments to Regulation S-P which governs the treatment of nonpublic personal information about consumers by certain financial institutions, many of which are commonly vendors and service providers to retirement plans. [read post]
28 May 2024, 11:40 am
Securities and Exchange Commission’s record-keeping investigations and have begun discussions with the agency’s enforcement staff about potential resolutions. [read post]
28 May 2024, 6:41 am
Securities and Exchange Commission announced the adoption of amendments to Regulation S-P that were proposed last year. [read post]
27 May 2024, 10:00 pm
This note also includes discussion on existing and proposed disclosure requirements of the Securities and Exchange Commission (SEC) related to ESG matters. [read post]
27 May 2024, 9:01 pm
On May 16, 2024, the Securities and Exchange Commission (“SEC”) significantly expanded its consumer information protection framework by adopting rule amendments (the “Final Amendments”) to Regulation S-P, which governs the protection of consumer financial information held by broker-dealers, investment companies, registered investment advisers and now transfer agents (“S-P entities”). [read post]
27 May 2024, 5:45 am
The jury must determine not only that Trump had an intent to defraud, but also that this intent included an intent to commit another crime, or to aid or conceal the commission of another crime. [read post]
24 May 2024, 6:30 am
Securities and Exchange Commission, on Friday, May 17, 2024 Tags: Data Breach, data breaches, data security, financial data, financial privacy, Regulation S-P, SEC The Limits on Sharing Confidential Information with Activists Posted by Gail Weinstein, Philip Richter, and Warren de Weid, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, May 18, 2024 Tags: Activist, Court of Chancery, delaware, Delaware law, Icahn v. deSouza, stockholder activist … [read post]
24 May 2024, 6:30 am
Securities and Exchange Commission, on Friday, May 17, 2024 Tags: Data Breach, data breaches, data security, financial data, financial privacy, Regulation S-P, SEC The Limits on Sharing Confidential Information with Activists Posted by Gail Weinstein, Philip Richter, and Warren de Weid, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, May 18, 2024 Tags: Activist, Court of Chancery, delaware, Delaware law, Icahn v. deSouza, stockholder activist … [read post]
24 May 2024, 5:51 am
” The press release identifies the Food and Drug Administration, the Department of Agriculture, the Securities and Exchange Commission, the Department of Energy, the Environmental Protection Agency, and the Department of Defense as offending agencies. [read post]
