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10 Aug 2022, 6:45 pm by Race to the Bottom
The Securities and Exchange Commission’s (“SEC’s”) latest order against brokerage giant Charles Schwab (“Schwab”), offers insight. [read post]
25 Jul 2022, 5:01 am by Alistair Simmons, Justin Sherman
The bill would create new export control authorities to control the transfer of certain sensitive categories of Americans’ data to certain foreign entities (for example, those deemed to threaten national security). [read post]
22 Jul 2022, 8:55 am by Zak Gowen
As Gensler was again making the case that virtually all cryptocurrencies except bitcoin are securities over which his SEC has authority, Sens. [read post]
22 Jul 2022, 5:07 am by John Jascob
Bush on July 30, 2002 signed the Sarbanes-Oxley Act into law after the accounting scandals at Enron and WorldCom Inc. shook markets and U.S. financial regulators. [read post]
19 Jul 2022, 2:59 pm by Kevin LaCroix
  This confirms many of the same insights we identified and discussed previously and again below, which can help biotech companies avoid and successfully defend against securities suits, and help insurers make better coverage decisions regarding these companies. [read post]
18 Jul 2022, 2:46 pm by Kevin LaCroix
We are therefore seeing more ESG-focused securities litigation in the pipeline for these reasons. [read post]
7 Jul 2022, 6:21 am by Bob Ambrogi
That is useful information, because it provides insights into a judge’s propensities. [read post]
22 Jun 2022, 6:53 am by Rob Robinson
The purpose of this report is to provide insights into the scope, scale, and methods of Russia’s use of cyber capabilities as part of the largescale “hybrid” war in Ukraine, to acknowledge the work of organizations in Ukraine defending against persistent adversaries, and to provide strategic recommendations to organizations worldwide. [read post]
17 Jun 2022, 6:27 am
Securities and Exchange Commission, on Thursday, June 16, 2022 Tags: Asset management, Index funds, Institutional Investors, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation [read post]
17 Jun 2022, 6:27 am
Securities and Exchange Commission, on Thursday, June 16, 2022 Tags: Asset management, Index funds, Institutional Investors, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation [read post]
16 Jun 2022, 11:14 am by Kevin LaCroix
On June 14, 2022, a federal jury in the Southern District of New York held after trial that Michael Reger, co-founder of Dakota Plains Holdings, Inc. was liable for securities fraud and control person fraud, but not for insider trading. [read post]
10 Jun 2022, 6:33 am
Securities and Exchange Commission, on Thursday, June 9, 2022 Tags: Capital markets, Information asymmetries, Investor protection, Retail investors, SEC, Securities regulation [read post]
10 Jun 2022, 6:33 am
Securities and Exchange Commission, on Thursday, June 9, 2022 Tags: Capital markets, Information asymmetries, Investor protection, Retail investors, SEC, Securities regulation [read post]