Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION"
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6 Mar 2024, 9:03 pm
I think it’s important to have U.S. standards to which U.S. issuers can point. [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]
SEC’s Final Climate Disclosure Rules Will Not Combat Greenwashing, But Opens Door for Whistleblowers
6 Mar 2024, 3:57 pm
Securities and Exchange Commission (SEC) released a new Climate Risk Disclosure Rule, which substantially waters down emissions reporting requirements for public companies compared to the version of the rule that was initially proposed in March 2022. [read post]
6 Mar 2024, 1:27 pm
Securities and Exchange Commission (SEC) voted 3-2 to adopt climate reporting standards that will mandate publicly-traded companies disclose some of their greenhouse gas emissions. [read post]
5 Mar 2024, 9:05 pm
Securities and Exchange Commission (SEC) for operating as unregistered securities exchanges, broker-dealers, and clearing agencies. [read post]
5 Mar 2024, 12:25 pm
Securities Exchange Commission opined that the investment tool the entrepreneurs used to contribute funds to the venture via software were probably investment contracts and subject to securities laws. [read post]
5 Mar 2024, 6:55 am
Securities and Exchange Commission rules on potential conflicts of interest stemming from having an attorney on the board who’s employed by a law firm that receives work from the company. [read post]
4 Mar 2024, 5:56 pm
Congress hoped it would help stop money-laundering by rooting out the use of anonymous shell companies and would track the flow of illicit money and protect U.S. national security interests. [read post]
4 Mar 2024, 2:57 pm
Enforcing the FCPA is a perennial priority for DOJ and the Securities and Exchange Commission (SEC), the agencies with primary responsibility for enforcing the statute. [read post]
4 Mar 2024, 5:56 am
The Marshall Islands’ efforts to secure this full amount have been rebuffed by the U.S. government. [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]
1 Mar 2024, 8:24 am
Securities and Exchange Commission (SEC) Office of the Whistleblower posted a Notice of Covered Action (NoCA) for a $100 million settlement with global software company SAP SE over charges of violations of the Foreign Corrupt Practices Act (FCPA). [read post]
1 Mar 2024, 3:14 am
Securities and Exchange Commission’s Proposals to Improve Equity Market Structure (this includes “payment for order flow”) 2. [read post]
1 Mar 2024, 3:00 am
National/Federal Lawmakers Across the U.S. [read post]
29 Feb 2024, 9:01 pm
Securities and Exchange Commission (SEC) proposed ambitious rules relating to artificial intelligence (AI) that have drawn significant commentary and criticism. [read post]
28 Feb 2024, 6:51 am
The Securities and Exchange Commission has charged Paul A. [read post]
28 Feb 2024, 6:32 am
Similarly, some activists were hesitant to jump into the fray until the Securities and Exchange Commission (“SEC”) announced final rules governing its proposed modernization of the Schedule 13D reporting system. [read post]
28 Feb 2024, 6:32 am
Similarly, some activists were hesitant to jump into the fray until the Securities and Exchange Commission (“SEC”) announced final rules governing its proposed modernization of the Schedule 13D reporting system. [read post]
27 Feb 2024, 10:22 am
Securities and Exchange Commission (SEC), the OSC Whistleblower Program offers monetary awards to individuals who voluntarily provide the agency with original information that leads to a successful enforcement action. [read post]
27 Feb 2024, 4:20 am
” The U.S. [read post]
