Search for: "Securities & Exchange Commission"
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5 Jun 2024, 10:52 am
As a registered broker-dealer, David Lerner Associates falls under the regulatory purview of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). [read post]
5 Jun 2024, 9:58 am
More broadly, the DOJ and Securities and Exchange Commission (SEC) have jurisdiction over foreign companies if they issue stock for American Depositary Receipts (ADRs). [read post]
5 Jun 2024, 9:36 am
The Securities and Exchange Commission has commenced its biennial collection of Diversity Self-Assessment Submissions from Regulated Entities. [read post]
5 Jun 2024, 8:31 am
Firstly, despite ransomware attacks and other cyber breaches against businesses continuing apace, most US-listed companies are unprepared for the Securities and Exchange Commission’s new rules on reporting their cyber readiness and any attacks they suffer, defense counsels told us. [read post]
5 Jun 2024, 5:42 am
(Editor’s note: This article is part of Just Security’s Symposium, International Law in the Face of Russia’s Aggression in Ukraine: The View from Lviv.) [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 1:54 pm
[Green groups dropped their suits after the various challenges to the SEC's climate disclosure rule were consolidated in a fairly conservative circuit. ] In March, the Securities and Exchange Commission (SEC) finalized its long awaited climate disclosure rule, which requires public companies to disclose their greenhouse gas emissions and various climate-related risks to investors as various climate -related risks. [read post]
4 Jun 2024, 12:23 pm
“The Securities and Exchange Commission today announced that it will close its Salt Lake Regional Office (SLRO) later this year, reducing its regional footprint from 11 regional offices to 10. [read post]
4 Jun 2024, 12:05 pm
The Securities and Exchange Commission today announced that it will close its Salt Lake Regional Office (SLRO) later this year, reducing its regional footprint from 11 regional offices to 10. [read post]
4 Jun 2024, 6:28 am
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]
4 Jun 2024, 4:17 am
SPAC management teams and directors are vulnerable to lawsuits from their public company shareholders as well as regulators like the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ). [read post]
3 Jun 2024, 8:58 am
While restoring net neutrality was identified early on as a priority for the Biden Administration, it was not until the fall of 2023, with the confirmation of Anna Gomez, that the Administration was able to secure a Democratic majority at the Commission. [read post]
2 Jun 2024, 9:01 pm
And you can even self-report when you think there is a possible securities law violation. [read post]
1 Jun 2024, 11:14 pm
Securities and Exchange Commission, Live Nation said it was “working to mitigate risk to our users” and was cooperating with law enforcement officials. [read post]
1 Jun 2024, 6:30 am
It has assumed outsized importance in the Securities and Exchange Commission’s (SEC’s) enforcement actions against entities that have made public offerings of unregistered securities. [read post]
