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Back to the Future of U.S. Securities Regulation
13 Feb 2023, 9:05 pm by Mary Moynihan
Securities and Exchange Commission (SEC) in the 1930s. [read post]
RegBlog - https://www.theregreview.org/
About That $91,000: A Cautionary Tale About the Paperwork Reduction Act of 1980 and Section 404 of the Sarbanes-Oxley Act of 2002, by Yoon-Ho Alex Lee
6 Feb 2023, 1:37 pm by Guest Author
Securities and Exchange Commission (SEC) in implementing Section 404. [read post]
Notice & Comment - https://www.yalejreg.com/nc/
Administrative Law SSRN Reading List, January 2023 Edition
5 Feb 2023, 4:06 pm by Christopher J. Walker
John’s Law Review forthcoming) Regulatory Enforcement Manuals by Jordan Perkins (Final Report for the Administrative Conference of the United States, Dec. 9, 2022) Securities and Exchange Commission vs. [read post]
Notice & Comment - https://www.yalejreg.com/nc/
U.S. Authorities Imposed $1.5 Billion in Sanctions in FCPA Cases in 2022
19 Jan 2023, 10:16 am by Geoff Schweller
Department of Justice (DOJ) and Securities and Exchange Commission (SEC) imposed over $1.5 billion in sanctions in Foreign and Corrupt Practices Act (FCPA) cases, according to a new report by FCPA Clearinghouse. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
Honeywell UOP to pay over $160 million to settle foreign bribery investigations in U.S. and Brazil
19 Dec 2022, 1:38 pm by jeffreynewmanadmin
Securities and Exchange Commission (SEC). [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Law and Media Round Up – 19 December 2022
19 Dec 2022, 2:31 am by INFORRM
Vox and the BBC covered Twitter’s U-turn. [read post]
Inforrm's Blog - https://inforrm.wordpress.com/
Just Released: Congressional-Executive Commission on China 2022 Annual Report on human rights conditions and rule of law developments in China
23 Nov 2022, 5:04 pm
 The  Congressional-Executive Commission on China (CECC), issued today the Commission’s 2022 Annual Report on human rights conditions and rule of law developments in the People’s Republic of China (PRC). [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
U.S. Securities and Exchange Commission issues investor alert to identify theft and data breaches to your investment accounts due to significant spikes in cybercrime
17 Nov 2022, 12:25 pm by jeffreynewmanadmin
The United States Securities and Exchange Commission Office of Investor Education has recommended that all investors check their accounts to determine whether financial information or assets have been stolen. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
All U.S. Crypto Exchanges Under SEC Investigation
3 Oct 2022, 7:52 am by Silver Law Group
Securities and Exchange Commission is investigating cryptocurrency exchange Coinbase Global Inc. [read post]
SEC Whistleblower Lawyer Blog - http://www.secwhistleblowerlawyers.net/
SEC Accounting Chief Warns Chinese Companies About Risks of Changing Auditors
7 Sep 2022, 9:01 pm by Paul Munter
HFCAA, among other things, also mandates that, after the PCAOB makes such a determination, the Commission require issuers who retain accounting firms in such jurisdiction to make specified disclosures in their annual reports and prohibit trading in those issuers’ securities if they are identified by the Commission as using such accounting firms for three consecutive years.[10] On December16, 2021, the PCAOB formally determined that, due to the positions taken by the… [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
ISS Discusses Five Non-U.S. Class Actions Investors Should Pay Attention To
31 Aug 2022, 9:01 pm by Jeff Lubitz
Commodity Futures Trading Commission announced an investigation in relation to whether Glencore (or its subsidiaries) possibly violated various provisions of the Commodity Exchange Act or regulations, through corrupt practices in connection with commodities. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Registration and Program Information for the 2022 Annual Meetiong of the European China Law Studies Association (Copenhagen 21-23 September)n
20 Aug 2022, 11:47 am
Thursday, September 22, 2022 9:00 am-10:00 am Keynote The National Supervision Commission in Context: Appropriation amidst Adaptation. [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
U.S. SEC Warns Brokers About Sales Contests That Violate Regulation Best Interest
16 Aug 2022, 11:47 am by Greco & Greco, P.C.
The United States Securities Exchange Commission (SEC) recently issued a Staff Bulletin which discussed the use of sales contests or other sales incentives by FINRA Broker-Dealer firms in the context of SEC Regulation Best Interest (Reg BI). [read post]
Virginia Securities Fraud Blog - https://www.grecogrecolaw.com/blog/
SEC Enforcement Chief Testifies Before U.S. House Committee on Financial Services
25 Jul 2022, 9:01 pm by Gurbir Grewal
Securities and Exchange Commission (“SEC” or the “Commission”). [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
The Proposed SEC Climate Disclosure Rule: A Comment from the U.S. Chamber of Commerce
13 Jul 2022, 6:29 am
Securities and Exchange Commission regarding the Proposed SEC Climate Disclosure Rule. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Requests Comment on Regulation of Information Providers Under the U.S. Investment Advisers Act
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]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
SEC Requests Comment on Regulation of Information Providers Under the U.S. Investment Advisers Act
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]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
The Proposed SEC Climate Disclosure Rule: A Comment from the U.S. Chamber of Commerce
13 Jul 2022, 6:29 am
Securities and Exchange Commission regarding the Proposed SEC Climate Disclosure Rule. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
The Proposed SEC Climate Disclosure Rule: A Comment from Eight U.S. Senators
5 Jul 2022, 6:29 am
Securities and Exchange Commission by Senators Schatz, Warren, Whitehouse, and five other U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
The Proposed SEC Climate Disclosure Rule: A Comment from Eight U.S. Senators
5 Jul 2022, 6:29 am
Securities and Exchange Commission by Senators Schatz, Warren, Whitehouse, and five other U.S. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov