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28 May 2024, 11:40 am
Securities and Exchange Commission’s record-keeping investigations and have begun discussions with the agency’s enforcement staff about potential resolutions. [read post]
28 May 2024, 6:41 am
Securities and Exchange Commission announced the adoption of amendments to Regulation S-P that were proposed last year. [read post]
27 May 2024, 10:00 pm
This note also includes discussion on existing and proposed disclosure requirements of the Securities and Exchange Commission (SEC) related to ESG matters. [read post]
27 May 2024, 9:01 pm
On May 16, 2024, the Securities and Exchange Commission (“SEC”) significantly expanded its consumer information protection framework by adopting rule amendments (the “Final Amendments”) to Regulation S-P, which governs the protection of consumer financial information held by broker-dealers, investment companies, registered investment advisers and now transfer agents (“S-P entities”). [read post]
27 May 2024, 5:45 am
The jury must determine not only that Trump had an intent to defraud, but also that this intent included an intent to commit another crime, or to aid or conceal the commission of another crime. [read post]
24 May 2024, 6:30 am
Securities and Exchange Commission, on Friday, May 17, 2024 Tags: Data Breach, data breaches, data security, financial data, financial privacy, Regulation S-P, SEC The Limits on Sharing Confidential Information with Activists Posted by Gail Weinstein, Philip Richter, and Warren de Weid, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, May 18, 2024 Tags: Activist, Court of Chancery, delaware, Delaware law, Icahn v. deSouza, stockholder activist … [read post]
24 May 2024, 6:30 am
Securities and Exchange Commission, on Friday, May 17, 2024 Tags: Data Breach, data breaches, data security, financial data, financial privacy, Regulation S-P, SEC The Limits on Sharing Confidential Information with Activists Posted by Gail Weinstein, Philip Richter, and Warren de Weid, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, May 18, 2024 Tags: Activist, Court of Chancery, delaware, Delaware law, Icahn v. deSouza, stockholder activist … [read post]
24 May 2024, 5:51 am
” The press release identifies the Food and Drug Administration, the Department of Agriculture, the Securities and Exchange Commission, the Department of Energy, the Environmental Protection Agency, and the Department of Defense as offending agencies. [read post]
24 May 2024, 3:43 am
There are of course political appointees at the Securities and Exchange Commission and other agencies, and we could be looking at a different landscape on areas such as ESG, consumer regulation and crypto to name a few examples. [read post]
23 May 2024, 9:01 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
23 May 2024, 9:23 am
EMA plans to submit the final draft RTS/ITS, covering the equities and bonds CTPs, to the European Commission by the end of December 2024. [read post]
22 May 2024, 1:02 pm
Securities and Exchange Commission (“SEC”) adopted amendments to Regulation S-P, which implements the Gramm-Leach Bliley Act (“GLBA”) for SEC-regulated entities such as broker-dealers, investment companies, registered investment advisers, and transfer agents. [read post]
22 May 2024, 11:18 am
They kept the money in the account and reported the illegal activity to the Securities and Exchange Commission. [read post]
22 May 2024, 8:30 am
The Securities and Exchange Commission today announced that The Intercontinental Exchange, Inc. [read post]
22 May 2024, 6:32 am
Key Points Even though the Securities and Exchange Commission’s (SEC’s) climate-related disclosure rules are on hold while court challenges are heard, companies need to prepare for the possibility that some or all parts of the rules will come into effect. [read post]
22 May 2024, 6:32 am
Key Points Even though the Securities and Exchange Commission’s (SEC’s) climate-related disclosure rules are on hold while court challenges are heard, companies need to prepare for the possibility that some or all parts of the rules will come into effect. [read post]
22 May 2024, 6:31 am
The Securities and Exchange Commission (SEC), the federal administrative agency that regulates securities markets, also has the power to enforce Rule 10b-5 against public companies. [read post]
22 May 2024, 6:31 am
The Securities and Exchange Commission (SEC), the federal administrative agency that regulates securities markets, also has the power to enforce Rule 10b-5 against public companies. [read post]
22 May 2024, 6:00 am
The Securities and Exchange Commission today announced that The Intercontinental Exchange, Inc. [read post]
22 May 2024, 6:00 am
Securities and Exchange Commission published additional interpretive guidance on reporting material cybersecurity incidents under Form 8-K. [read post]
