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29 Apr 2024, 6:31 am
Panuwat, the Securities and Exchange Commission (SEC) successfully pioneered a legal theory referred to as “shadow” insider trading. [read post]
29 Apr 2024, 6:31 am
Panuwat, the Securities and Exchange Commission (SEC) successfully pioneered a legal theory referred to as “shadow” insider trading. [read post]
29 Apr 2024, 5:52 am
Blockchain Association’s members are software developers, infrastructure providers, exchanges, custodians, investors, and others supportive of the blockchain ecosystem. [read post]
26 Apr 2024, 12:59 pm
On April 4, Senator Charles Grassley (R-IA), Ranking Member of the Senate Committee on the Budget, wrote a letter to Gary Gensler, the Chair of the Securities and Exchange Commission (SEC), expressing concerns about delays and lack of transparency in the agency’s whistleblower compensation. [read post]
26 Apr 2024, 11:25 am
The FTC has yet to pursue a new claim against New Balance Jeffrey Newman is a whistleblower lawyer whose firm represents whistleblowers in healthcare fraud cases under the False Claims Act (FCA) and also under the Securities and Exchange, FINCEN and CFTC whistleblower programs. [read post]
26 Apr 2024, 7:00 am
He got a phone call about the imminent sale of a tech company and allegedly traded on the confidential information, according to charges filed by the Securities and Exchange Commission. [read post]
25 Apr 2024, 9:05 pm
Securities and Exchange Commission, 140 S. [read post]
25 Apr 2024, 9:01 pm
Securities and Exchange Commission (SEC) takes the position that the insider trading laws apply where an insider uses material non-public information about his or her own company to trade securities of another company, such as a competitor or peer company in the same industry. [read post]
25 Apr 2024, 11:36 am
Securities and Exchange Commission (SEC) Whistleblower Program, says Allison Herren Lee, former SEC Commissioner and currently Of Counsel at the whistleblower firm Kohn, Kohn & Colapinto. [read post]
25 Apr 2024, 11:20 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Monday, May 6, 2024. [read post]
25 Apr 2024, 7:10 am
The petition asked the Commission to shorten the reporting period to two business days after the end of the calendar quarter.Read the rest of the story and other securities news from Wolters Kluwer at VitalLaw.com. [read post]
25 Apr 2024, 6:41 am
To illustrate this point, we’re summarizing highlights of the hundreds of FOIA requests submitted by media organizations to the Food and Drug Administration and the Securities and Exchange Commission during March (the most recent month for which information is available). [read post]
25 Apr 2024, 6:32 am
As DOJ considers how best to construct this new program, it fortunately has a model of success to consider in the programs created under Dodd-Frank at the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
25 Apr 2024, 6:32 am
As DOJ considers how best to construct this new program, it fortunately has a model of success to consider in the programs created under Dodd-Frank at the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
25 Apr 2024, 6:00 am
In addition to potentially misleading consumers and harming investors, this can break U.S. securities law, according to Gary Gensler, chair of the Securities and Exchange Commission. [read post]
25 Apr 2024, 2:55 am
In respect of secondary use of health data, for example, it will assist Member States in coordinating the practices of their Health Data Access Bodies (HDABs), exchange best practices that help the Commission in preparing its secondary legislation, and share information on identified risks and incidents in relation to the secondary use of health data. [read post]
24 Apr 2024, 12:17 pm
Securities and Exchange Commission (SEC), which has a similar whistleblower rule, has cracked down on companies for muzzling whistleblowers through restrictive NDAs. [read post]
24 Apr 2024, 12:16 pm
Earlier in March, the US Securities and Exchange Commission charged investment advisers Delphia (USA) Inc. [read post]
24 Apr 2024, 10:42 am
Earlier this year, the United States Securities and Exchange Commission (“SEC”) adopted new regulations to enhance disclosures and provide additional investor protections in initial public offerings (“IPO”) by Special Purpose Acquisition Companies (“SPAC”) and in subsequent business combination transactions between SPACs and target companies (“de-SPAC transactions”). [read post]
24 Apr 2024, 7:05 am
The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. [read post]
