Search for: "SECURITIES AND EXCHANGE COMMISSION v. SECURITIES INVESTOR PROTECTION CORPORATION"
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21 May 2024, 9:01 pm
Recommendations The kinds of recommendations that are the subject of the Final Rule’s test track the three categories the DOL had included in its Proposal: Post-Rollover Investments – Recommendations as to the advisability of acquiring, holding, disposing of, or exchanging, securities or other investment property, as to investment strategy, or as to how securities or other investment property should be invested after the securities or other… [read post]
15 May 2024, 9:01 pm
Following an investigation by the SEC’s Division of Enforcement, the Commission institutes an administrative proceeding and finds that because of the mutual conflict of interest created by the audit firm’s provision of non-audit services at reduced rates in exchange for being chosen as the company’s auditor, the audit firm and audit partner were not independent within the meaning of Rule 2-01(b) of Regulation S-X. [read post]
25 Apr 2024, 9:05 pm
, Securities and Exchange Commission v. [read post]
19 Apr 2024, 9:27 am
The Securities and Exchange Commission (“SEC”) approved 11 spot Bitcoin exchange-traded funds (“ETFs”) on January 10, 2024, marking a historic moment in the crypto industry. [read post]
18 Apr 2024, 9:01 pm
Every day, we see individuals, corporations, analysts, and others touting these developments. [read post]
11 Apr 2024, 4:57 am
Securities and Exchange Commission officials convened at the SEC Speaks Conference in Washington, D.C., to discuss the Commission’s accomplishments in fiscal year 2023 and announce its priorities for 2024. [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]
12 Mar 2024, 3:36 am
[4] See id. at 15 (“[T]he Commission’s disclosure requirements . . . are designed for traditional corporate entities that typically issue and register equity and debt securities. [read post]
6 Mar 2024, 9:03 pm
[5] Commission Guidance Regarding Disclosure Related to Climate Change, Release No. 33-9106 (Feb. 2, 2010) [75 FR 6290 (Feb. 8, 2010)] [6] See Basic Inc. v. [read post]
6 Mar 2024, 9:01 pm
The Commission is a securities regulator without statutory authority or expertise to address political and social issues. [read post]
5 Mar 2024, 5:40 am
By Suzanne CosgroveThe Council of Institutional Investors (CII) has urged the SEC to initiate new rulemaking that will make it easier to trace shares sold into the marketplace through both direct listings and initial public offerings and, in the process, protect investors’ rights under Section 11 of the Securities Act of 1933.The CII said the urgency of its petition is in part a response to the Supreme Court decision Slack Technologies, LLC v. [read post]
15 Feb 2024, 9:08 pm
An external auditor’s confirmed AUSTRAC’s concerns regarding Gold Corporation’s non-compliance with its anti-money laundering obligations. [read post]
15 Feb 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]
30 Jan 2024, 9:02 pm
Even if the concern is real, the imprudent policy adopted in November 1972 is not the right way to protect the Commission’s reputation. [read post]
25 Jan 2024, 4:06 am
See, e.g., AAA-ICDR Best Practices for Maintaining Cybersecurity and Privacy[3]; AAA-ICDR Information Security Program[4]; JAMS, “Doing the Cybersecurity Two-Step: Securing Your Practice and Protecting Your Brand. [read post]
22 Jan 2024, 9:01 pm
You are probably well acquainted with its successor, rule 506.[2] Prior to the adoption of former rule 146 in April 1974, the Commission did not have rules interpreting section 4(2) of the Securities Act.[3] As a result, issuers faced uncertainty in determining whether a sale of securities did not involve “any public offering” and in applying case law on the topic, including the Supreme Court’s decision in SEC v. [read post]
10 Jan 2024, 9:01 pm
Securities and Exchange Commission. [read post]
28 Dec 2023, 9:05 pm
Supreme Court’s decision in Dobbs v. [read post]
27 Dec 2023, 6:09 pm
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
