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31 May 2024, 6:30 am
Rhee (University of Florida), on Thursday, May 30, 2024 Tags: AI, AI Manager, Artificial intelligence, policy 2023 Global Class Action Annual Report Posted by Steve Cirami, Broadridge , on Thursday, May 30, 2024 Tags: Cybersecurity, DTCC, ESG, EU, IPOs, SEC, SPAC [read post]
31 May 2024, 6:30 am
Rhee (University of Florida), on Thursday, May 30, 2024 Tags: AI, AI Manager, Artificial intelligence, policy 2023 Global Class Action Annual Report Posted by Steve Cirami, Broadridge , on Thursday, May 30, 2024 Tags: Cybersecurity, DTCC, ESG, EU, IPOs, SEC, SPAC [read post]
31 May 2024, 2:30 am
The SEC has a rich history that you can learn quite a bit about by visiting the SEC Historical Society’s website. [read post]
30 May 2024, 3:22 pm
Musk tried to avoid testifying by arguing that the SEC had deposed him twice before, telling a US district court in California that the most recent subpoena was "the latest in a long string of SEC abuses of its investigative authority. [read post]
30 May 2024, 6:32 am
Moab Partners, L.P.1, to address a circuit split related to whether disclosures required by Item 303 of SEC Regulation S-K, which requires companies to disclose trends or uncertainties likely to have a material impact on a company’s financial position, could give rise to securities fraud claims under Section 10(b) of the Exchange Act and Rule 10b-5. [read post]
30 May 2024, 6:32 am
Moab Partners, L.P.1, to address a circuit split related to whether disclosures required by Item 303 of SEC Regulation S-K, which requires companies to disclose trends or uncertainties likely to have a material impact on a company’s financial position, could give rise to securities fraud claims under Section 10(b) of the Exchange Act and Rule 10b-5. [read post]
30 May 2024, 2:30 am
The report also recommends that companies confirm that their ESG narrative is cohesive across SEC filings, sustainability reports, company websites and other materials. [read post]
29 May 2024, 9:01 pm
We’ve all heard the SEC’s suggestion to just “come in and register. [read post]
29 May 2024, 1:53 pm
Without admitting or denying the SEC’s findings, MassAve and Feng consented to the entry of the SEC’s orders requiring them to cease and desist from further violations, censuring MassAve, and imposing the penalties listed above. [read post]
29 May 2024, 1:48 pm
As discussed in our January 10, 2024 webinar, new SEC rules require resource extraction issuers that file reports with the SEC to file a Form SD within 270 days after each fiscal year end to report their payments to the U.S. federal government and foreign governments. [read post]
29 May 2024, 7:55 am
The Securities and Exchange Commission today instituted settled proceedings against formerly registered investment adviser Mass Ave Global Inc. [read post]
29 May 2024, 6:32 am
The rule has a process for how companies can seek to exclude these proposals by submitting a challenge to the SEC to obtain a favorable ‘no-action letter. [read post]
29 May 2024, 6:32 am
The rule has a process for how companies can seek to exclude these proposals by submitting a challenge to the SEC to obtain a favorable ‘no-action letter. [read post]
29 May 2024, 6:30 am
Following in the footsteps of similar initiatives by regulators in other jurisdictions, including the SEC’s recent tightening of investment company name requirements and the FCA’s rules around names and the marketing of investment products introduced as part of its Sustainability Disclosure Requirements and investment labelling regime, the European Securities and Markets Authority (“ESMA”) published its final Guidelines on funds’ names using ESG… [read post]
29 May 2024, 6:30 am
Following in the footsteps of similar initiatives by regulators in other jurisdictions, including the SEC’s recent tightening of investment company name requirements and the FCA’s rules around names and the marketing of investment products introduced as part of its Sustainability Disclosure Requirements and investment labelling regime, the European Securities and Markets Authority (“ESMA”) published its final Guidelines on funds’ names using ESG… [read post]
29 May 2024, 5:49 am
For example, the changes to the SEC requirements for incident reporting may be useful to retirement plan sponsors as they consider their own incident response plans, should a data breach experienced by a 401(k) plan involve the data of their current and former employees. [read post]
28 May 2024, 11:40 am
He can be reached at Jeff@JeffNewmanLaw.com or at 617-823-3217 The post Private equity firms near settlement with SEC over use of banned communication channels appeared first on Jeff Newman Law. [read post]
28 May 2024, 8:43 am
” Kohn’s piece echos an article published in April by former-SEC Commissioner Allison Herren Lee. [read post]
28 May 2024, 6:41 am
On May 16, 2024, the U.S. [read post]
28 May 2024, 3:30 am
” While the SEC has not specified the duration of the further implementation period if the rules survive the litigation, it thus has confirmed that a new implementation period will be provided. [read post]
