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1 Jun 2024, 6:30 am
According to the SEC, these crypto assets are securities if they are “investment contracts” under the seminal case of SEC v. [read post]
1 Jun 2024, 6:30 am
According to the SEC, these crypto assets are securities if they are “investment contracts” under the seminal case of SEC v. [read post]
31 May 2024, 4:36 pm
Sec. 1395 et seq.) of the federal Social Security Act. [read post]
31 May 2024, 12:31 pm
SEC final rule on reporting material cybersecurity incidents In July 2023, the US Securities and Exchange Commission (SEC) finalized its rule requiring public companies to disclose material cybersecurity incidents under Item 1.05 of Form 8-K. [read post]
31 May 2024, 11:49 am
(CRD#: 7691/SEC#: 801-14235,8-7221), a dual registered broker-dealer, is based in New York, NY. [read post]
31 May 2024, 11:27 am
Here is a copy of the Complaint https://www.sec.gov/files/litigation/complaints/2024/comp-pr2024-66-complaint.pdf The SEC’s complaint, filed in U.S. [read post]
31 May 2024, 10:00 am
The Securities and Exchange Commission today charged Robert Scott Murray and Trillium Capital LLC, a private company controlled by Murray, with a fraudulent scheme to manipulate the stock price of Getty Images Holdings Inc. by announcing a phony offer by…Read the Full Press Release Have a securities law question? [read post]
31 May 2024, 6:40 am
The meeting will be webcast on the SEC website. [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, 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]
