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1 May 2024, 9:05 pm
In the meantime, we must hope for the European Securities and Markets Authority (ESMA) to give further guidance. [read post]
30 Apr 2024, 6:08 am
In a tantalizing exchange, Pecker acknowledged that he initially planned on transferring AMI’s rights to former Playboy model Karen McDougal’s story about her alleged affair with Trump to Cohen, through a shell company. [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]
24 Apr 2024, 6:30 am
P., 601 U.S. ___, 2024 WL 1588706 (2024), that a violation of Securities and Exchange Commission Item 303—which requires public companies to disclose “known trends or uncertainties” that could impact their income— cannot, in the absence of an otherwise misleading statement, support a private lawsuit brought under SEC Rule 10b-5(b), a regulation that implements Section 10(b) of the Securities Exchange Act of 1934. [read post]
24 Apr 2024, 6:30 am
P., 601 U.S. ___, 2024 WL 1588706 (2024), that a violation of Securities and Exchange Commission Item 303—which requires public companies to disclose “known trends or uncertainties” that could impact their income— cannot, in the absence of an otherwise misleading statement, support a private lawsuit brought under SEC Rule 10b-5(b), a regulation that implements Section 10(b) of the Securities Exchange Act of 1934. [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
1 Apr 2024, 6:44 am
It prohibits retaliation against employees who engage in certain activities, including: – Assisting or participating in an internal investigation of suspected wrongdoing under federal fraud statutes or securities regulations; – Assisting or participating in an investigation by the Securities and Exchange Commission (SEC), Congress, or another federal agency involving alleged fraud or securities violations; and – Filing a complaint with… [read post]
24 Mar 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
6 Mar 2024, 9:03 pm
Northway, Inc., 426 U. [read post]
4 Mar 2024, 2:30 am
He was required to certify in accordance with applicable Securities and Exchange Commission regulations that his reports to UBS customers about the firm’s securities business were independently produced and reflected his own views. [read post]
22 Feb 2024, 6:30 am
Securities and Exchange Commission’s (SEC) proposed climate-related disclosure rule and the European Union’s (EU) Corporate Sustainability Reporting Directive (CSRD).[1] As discussed below, there is a certain core set of disclosure requirements common to these disclosure regimes, including those relating to the material risks that climate change poses to the company based on the Task Force for Climate Financial Disclosures (TCFD). [read post]
22 Feb 2024, 6:30 am
Securities and Exchange Commission’s (SEC) proposed climate-related disclosure rule and the European Union’s (EU) Corporate Sustainability Reporting Directive (CSRD).[1] As discussed below, there is a certain core set of disclosure requirements common to these disclosure regimes, including those relating to the material risks that climate change poses to the company based on the Task Force for Climate Financial Disclosures (TCFD). [read post]
19 Feb 2024, 10:00 pm
This resource includes discussion on existing and proposed disclosure requirements of the Securities and Exchange Commission (SEC) related to material ESG matters. [read post]
Two Pending Cases Before the U.S. Supreme Court Could Substantially Impact New Jersey Employment Law
2 Feb 2024, 8:05 am
This is part of the dispute now before the Supreme Court in Securities and Exchange Commission v. [read post]
31 Jan 2024, 12:34 pm
The U.S. restricted selling them to China to prevent their use in China’s military, The FBI,, the Securities and Exchange Commission and a national security panel have opened probes on whether TuSimple was illegally transferring technology to China. [read post]
30 Jan 2024, 9:02 pm
”[26] In the Commission’s telling, “[a]s part of the settlement process, the Commission and a defendant negotiate terms,” and “if either party disagrees with terms t [read post]
25 Jan 2024, 9:01 pm
” Unlike whistleblower programs run by agencies like the Securities and Exchange Commission, Commodity Futures Trading Commission and the Financial Crimes Enforcement Network of the Department of the Treasury, the Program does not offer financial incentives for reporting misconduct. [read post]
25 Jan 2024, 4:06 am
Malware planted on the section of the PCA’s website devoted to the China–Philippines maritime boundary dispute posed a potential risk to visitors, causing the PCA’s website to go off-line for a week. [read post]
21 Jan 2024, 9:01 pm
In Illumina/Grail, the Fifth Circuit reviewed the Commission’s reversal of the ALJ’s dismissal of the complaint. [read post]
12 Jan 2024, 7:42 am
Grayscale led the fight at the Securities and Exchange Commission (“SEC”) for approval of spot bitcoin-exchange traded funds (“ETFs”). [read post]
