Search for: "In Re Securities and Exchange Commission"
Results 241 - 260
of 2,824
Sort by Relevance
|
Sort by Date
17 Jun 2023, 6:03 am
Securities and Exchange Commission and now serving as deputy general counsel at the investment firm Engine No. 1 in San Francisco — she has always had an interest in sports and business. [read post]
16 Jun 2023, 8:58 am
In December 2022, the social media world was stunned to learn that federal prosecutors and the Securities and Exchange Commission (SEC) were filing civil and criminal charges against eight social media influencers. [read post]
16 Jun 2023, 7:41 am
The New Law Protects Whistleblowers And Aids The Treasury The AML was modeled after the Dodd-Frank law that created the highly successful whistleblowing program at the Securities and Exchange Commission (SEC). [read post]
16 Jun 2023, 7:10 am
On September 28, 2020, the Securities and Exchange Commission (SEC) announced it had settled actions against two public companies for improperly reporting their quarterly Earnings Per Share (EPS). [read post]
16 Jun 2023, 6:11 am
Acquires Stake in Legal Tech Company CS Disco, Inc.: A Promising Investment in a Growing Industry In a recent disclosure with the Securities and Exchange Commission, Russell Investments Group Ltd. revealed their acquisition of a new stake in CS Disco, Inc. [read post]
15 Jun 2023, 4:28 pm
Earlier this week, the Securities and Exchange Commission (“SEC”) published an update to its rulemaking agenda indicating that it does not plan to approve two proposed cyber rules until at least October 2023 (the agenda’s timeframe is an estimate). [read post]
15 Jun 2023, 12:44 pm
In our last post, we went over a brief history of the Securities and Exchange Commission (SEC) whistleblower program—including its creation in the aftermath of the catastrophic multi-billion dollar Ponzi schemes run by Bernard Madoff and Alan Stanford, and the recognition that the SEC had been repeatedly warned about both frauds but failed to act on the information. [read post]
15 Jun 2023, 12:08 pm
The Securities and Exchange Commission (SEC) whistleblower program is considered one of the more successful government initiatives around—especially when it comes to financial institutions and investing. [read post]
15 Jun 2023, 4:49 am
In a letter dated June 13, the Crypto Council for Innovation noted it had previously requested that the Commission clarify whether its original proposal covered crypto and DeFi protocols, and, if it did, to re-propose it in accordance with the Commission’s statutory requirements under the Administrative Procedure Act (APA), the Exchange Act, and the Paperwork Reduction Act. [read post]
14 Jun 2023, 9:01 pm
Securities and Exchange Commission, at the Small Business Capital Formation Advisory Committee in Washington, D.C. [read post]
14 Jun 2023, 12:55 pm
The Securities and Exchange Commission (SEC) and the Commodities Futures Trading Commission (CFTC) have both accused him of fraud. [read post]
14 Jun 2023, 9:11 am
In our previous posts, we’ve examined the Securities and Exchange Commission’s (SEC) increased enforcement actions against what are called “special purpose acquisition companies” (SPACs). [read post]
14 Jun 2023, 8:40 am
In our last post, we reviewed the basics of special purpose acquisition companies (SPACs), also called “blank check companies,” to understand why the Securities and Exchange Commission is so concerned about SPACs. [read post]
13 Jun 2023, 8:37 am
But the rise of SPACs has led to their abuse—taking advantage of investors—and a resulting crackdown by the Securities and Exchange Commission (SEC). [read post]
13 Jun 2023, 7:41 am
The Act included provisions to protect whistleblowers who report securities law violations to the Securities and Exchange Commission (SEC) and provided incentives for SEC whistleblowers to come forward. [read post]
9 Jun 2023, 5:01 am
Every year, the Securities and Exchange Commission (SEC) pursues numerous insider trading actions that result in disgorgement. [read post]
8 Jun 2023, 9:05 pm
Securities and Exchange Commission’s proposed amendments to the “Names Rule. [read post]
6 Jun 2023, 5:16 am
The notice would have to include language from the Federal Trade Commission (FTC), to be developed through rulemaking, and a link to the FTC’s to-be-created registry of third-party collecting entities. [read post]
31 May 2023, 9:33 am
The Securities and Exchange Commission (SEC) has explained that “as investor demand for climate and other environmental, social, and governance (ESG) information soars, the SEC is responding with an all-agency approach” that reflects the risks and opportunities of ESG and climate investing. [read post]
31 May 2023, 8:58 am
The Commodity Futures Trading Commission (CFTC) has a whistleblower program for commodity trade insiders who can provide material evidence or testimony of company violations involving the Commodity Exchange Act (CEA) and other securities and investment regulations. [read post]
