Search for: "U. S. Securities and Exchange Commission"
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12 Jul 2017, 6:04 am
Securities and Exchange Commission (SEC) administrative law judges (ALJs) are employees who are not subject to the Appointments Clause of the U.S. [read post]
21 Dec 2023, 4:24 pm
Readers may recall that I have penned several posts on the subject whether coal is a mineral for purposes of the Securities and Exchange Commission's resource extraction disclosure rules: Is Coal A Mineral And Why Ask? [read post]
28 Sep 2019, 6:00 am
On September 5, 2019, the SEC Investor Advisory Committee (“IAC”) issued a written statement (the “Statement”) to the Securities and Exchange Commission (“SEC”) making recommendations on steps the SEC should take to reform the “complex and multifaceted” U.S. proxy system. [read post]
11 Aug 2016, 2:29 pm
The Securities and Exchange Commission today charged a stockbroker and his friend with participating in an insider trading scheme to profit in advance of two major announcements out of a pharmaceutical company. [read post]
1 Mar 2020, 5:32 am
Cynthia Axne) The Workforce Investment Disclosure Act would require specific line-item disclosures in Securities and Exchange Commission (“SEC”) mandated reports on information that in many cases is not material to a reasonable investor, and would preempt the SEC’s flexible, principles-based approach on human capital disclosures. [read post]
7 Sep 2017, 3:10 pm
Currently, Rule 257 requires a Tier 2 issuer to file periodic and other reports with the Commission on Forms 1-K, 1-SA, and 1-U. [read post]
20 Oct 2016, 5:00 am
The Commission’s pay ratio rule is set out in Item 402(u) of Regulation S-K. [read post]
21 Nov 2023, 11:46 am
Securities and Exchange Commission’s recently adopted cybersecurity disclosure rules. [read post]
24 Aug 2023, 10:50 am
The Securities and Exchange Commission today announced insider trading charges against Romero Cabral da Costa Neto for trading based on material, nonpublic information concerning a client of the global law firm where he worked as a visiting attorney from Brazil. [read post]
22 May 2020, 10:21 am
According to a press announcement on May 12, the Securities and Exchange Commission filed fraud charges against Florida-based investment adviser TCA Fund Management Group Corp. and its affiliate, TCA Global Credit Fund GP, Ltd., for an alleged fraudulent scheme. [read post]
2 Oct 2014, 11:51 am
On October 1st, the nation’s Securities and Exchange Commission (“SEC”) reportedly extended its review of a Financial Industry Regulatory Authority (“FINRA”) proposal to revamp how public arbitrators are selected in disputes between brokerages and consumers. [read post]
2 Aug 2021, 5:56 am
It’s been less than a year since a new disclosure rule by the Securities and Exchange Commission (SEC) took effect, which required companies to provide additional detail in their 10-K reports around their human capital management (HCM). [read post]
5 May 2014, 6:34 am
The Securities and Exchange Commission shut down another one of these scams. [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]
3 May 2023, 11:54 am
Last week, Coinbase launched its first counteroffensive against the Securities Exchange Commission’s (“SEC”) aggressive enforcement posturing in the cryptoeconomy. [read post]
13 Oct 2021, 6:08 am
Securities and Exchange Commission, on Wednesday, October 13, 2021 Editor's Note: Elad L. [read post]
23 Sep 2010, 8:00 am
Securities and Exchange Commission (SEC) announced proposals intended to "shed a greater light" on the short-term borrowing practices of public companies. [read post]
2 May 2012, 11:29 am
., Securities and Exchange Commission is suing SinoTech Energy Ltd. [read post]
22 Dec 2016, 9:26 am
Under the Securities Exchange Commission’s authority FINRA promulgates rules of its own as a self regulatory organization (“SRO”). [read post]
13 Jul 2022, 6:29 am
Summary On June 15, 2022, the Securities and Exchange Commission (the “SEC”) issued a request for information and public comment (the “Request for Comment”) on matters related to the activities of index providers, model portfolio providers and pricing services (referred to by the SEC as “information providers” or “providers”). [read post]
