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27 Jan 2022, 9:10 am
The Securities and Exchange Commission today reopened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of information reflecting the relationship between executive compensation actually paid by a company and the company'…Read the Full Press ReleaseHave a securities law question? [read post]
15 Dec 2021, 9:25 am
The Securities and Exchange Commission today voted to propose amendments to certain rules that govern money market funds under the Investment Company Act of 1940. [read post]
5 Jan 2022, 12:45 pm
The Securities and Exchange Commission today charged Allen C. [read post]
18 Mar 2022, 8:55 am
The Securities and Exchange Commission today announced three awards totaling approximately $3 million to whistleblowers who provided information and assistance in three separate covered actions. [read post]
15 Dec 2021, 10:50 am
The Securities and Exchange Commission today voted to approve the 2022 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. [read post]
3 Mar 2022, 7:55 am
The Securities and Exchange Commission today announced that registered investment adviser City National Rochdale, LLC (CNR) has agreed to pay more than $30 million to settle charges that its undisclosed conflicts of interest defrauded current and…Read the Full Press ReleaseHave a securities law question? [read post]
10 Dec 2021, 12:05 pm
The Securities and Exchange Commission today announced it charged three Canadian citizens with carrying out a fraudulent scheme involving penny stocks which generated tens of millions of dollars in proceeds but left investors with nearly worthless shares…Read the Full Press ReleaseHave a securities law question? [read post]
17 Dec 2021, 2:00 pm
The Securities and Exchange Commission today announced that James E. [read post]
21 Dec 2021, 9:05 am
The Securities and Exchange Commission today announced the appointment of William A. [read post]
7 Mar 2022, 10:50 am
The Securities and Exchange Commission today charged a previously-barred North Carolina-based investment adviser with lying to retail investors about the use and value of their investments. [read post]
15 Mar 2022, 2:40 pm
The Office of the Advocate for Small Business Capital Formation will host the Securities and Exchange Commission’s 41st Annual Government-Business Forum on Small Business Capital Formation over four virtual sessions April 4-7 from 1:00-2-30pm ET. [read post]
10 Feb 2022, 10:05 am
The Securities and Exchange Commission today proposed two amendments to the rules governing its whistleblower program. [read post]
17 Feb 2022, 3:30 pm
The Securities and Exchange Commission announced that Seoul-based KT Corporation (KT Corp.) will pay $6.3 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) by providing improper payments for the benefit of government…Read the Full Press ReleaseHave a securities law question? [read post]
15 Mar 2022, 2:10 pm
The Securities and Exchange Commission today announced fraud charges against five individuals for allegedly operating a call center in Medellin, Colombia, which used high pressure sales tactics and made false and misleading statements to retail investors…Read the Full Press ReleaseHave a securities law question? [read post]
16 Mar 2022, 7:05 am
The Securities and Exchange Commission today charged Crosby Independent School District (Crosby ISD) and its former Chief Financial Officer, Carla Merka, with misleading investors in the sale of $20 million of municipal bonds in order to pay its…Read the Full Press ReleaseHave a securities law question? [read post]
9 Mar 2022, 7:55 am
The Securities and Exchange Commission today proposed amendments to its rules to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incident reporting by public companies. [read post]
21 Dec 2021, 4:11 am
The Securities and Exchange Commission today announced that Nikola Corporation, a publicly traded company created through a special purpose acquisition company transaction, has agreed to pay $125 million to settle charges that it defrauded investors by…Read the Full Press ReleaseHave a securities law question? [read post]
29 Dec 2021, 5:35 am
The Securities and Exchange Commission today charged Medallion Financial Corp., a Delaware company headquartered in New York, NY, and its President and Chief Operating Officer, Andrew Murstein of New York, NY, with illegally engaging in two schemes in an…Read the Full Press ReleaseHave a securities law question? [read post]
8 Mar 2022, 7:15 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting remotely on March 10 at 10:00 a.m. [read post]
12 May 2009, 11:51 am
The Securities and Exchange Commission plans to consider proposals to allow shareholders to nominate board candidates to appear on management proxy statements when the commission meets on May 20. [read post]
