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6 Apr 2024, 6:31 am
Securities and Exchange Commission. [read post]
5 Apr 2024, 1:06 pm
The Washington Post detailed how financial watch dog FINRA, the Security and Exchange Commission, Department of Homeland Security, FBI and Miami Policy cooperated in a cross-border investigation leading to charges by the SEC. [read post]
5 Apr 2024, 8:37 am
Introduction As we previously reported,[1] on March 6, 2024, the Securities and Exchange Commission (the “SEC” or the “Commission”) adopted (in a three-two vote) long-awaited climate-related disclosure rules for public companies (the “Final Rules”).[2] The Final Rules, although not as prescriptive as the rules that were proposed almost two years prior (the “Proposed Rules”),[3] contain broad-sweeping requirements… [read post]
5 Apr 2024, 8:37 am
Introduction As we previously reported,[1] on March 6, 2024, the Securities and Exchange Commission (the “SEC” or the “Commission”) adopted (in a three-two vote) long-awaited climate-related disclosure rules for public companies (the “Final Rules”).[2] The Final Rules, although not as prescriptive as the rules that were proposed almost two years prior (the “Proposed Rules”),[3] contain broad-sweeping requirements… [read post]
5 Apr 2024, 4:54 am
U.S. officials believe negotiating a pause in the fighting and the exchange of Israeli hostages held in Gaza for Palestinian prisoners held in Israel is the only way to secure a temporary cease-fire and increase humanitarian aid. [read post]
4 Apr 2024, 1:15 pm
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will host the SEC’s 43rd Annual Government-Business Forum on Small Business Capital Formation during three virtual sessions April 16-18 from 1-2:30 p.m. [read post]
4 Apr 2024, 9:47 am
In 2024, the Securities and Exchange Commission (“SEC”) released a final rule on climate-related disclosures for business. [read post]
4 Apr 2024, 6:02 am
In response, they passed the Securities Act of 1933, the Securities Exchange Act of 1934, and established the Securities and Exchange Commission, he noted.The need for the SEC to promote these public goods is evergreen, but technology and business models “are everchanging,” Gensler said. [read post]
3 Apr 2024, 9:03 pm
Let me start by reminding you that my views are my own as a Commissioner and not necessarily those of the Securities and Exchange Commission (“SEC”) or my fellow Commissioners. [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
3 Apr 2024, 12:50 pm
The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. [read post]
3 Apr 2024, 12:28 pm
This proposal stipulates that freelancers may only be subjected to noncompete agreements if they receive compensation in exchange. [read post]
3 Apr 2024, 6:24 am
Those alerts ended up in the hands of the Securities and Exchange Commission and the Department of Justice. [read post]
2 Apr 2024, 1:03 pm
Securities and Exchange Commission (“SEC”) has pursued investigations of insider trading involving over sixty parties. [read post]
2 Apr 2024, 12:05 pm
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financial Capability Month is, “What does your financial future look like? [read post]
1 Apr 2024, 3:12 pm
The Securities Exchange Commission filed a parallel action for related conduct on the same day the CFTC initiated its enforcement action, but resolved its claims against Empire Consulting in 2023. [read post]
1 Apr 2024, 11:55 am
In a previous blog , we discussed Securities and Exchange Commission v. [read post]
1 Apr 2024, 11:51 am
Enforcing the FCPA is a perennial priority for DOJ and the Securities and Exchange Commission (SEC), the agencies with primary responsibility for enforcing the statute. [read post]
1 Apr 2024, 6:44 am
It prohibits retaliation against employees who engage in certain activities, including: – Assisting or participating in an internal investigation of suspected wrongdoing under federal fraud statutes or securities regulations; – Assisting or participating in an investigation by the Securities and Exchange Commission (SEC), Congress, or another federal agency involving alleged fraud or securities violations; and – Filing a complaint with… [read post]
1 Apr 2024, 6:30 am
Summary On March 6, 2024, the Securities and Exchange Commission (“SEC”) in a 3-to-2 vote[1] adopted its landmark climate-related disclosure rules (the “Final Rules”), which will significantly expand the climate-related information that U.S. public companies and foreign private issuers (other than Canadian issuers reporting on Form 40-F) will be required to disclose in their periodic reports and registration statements.[2] Our March 7, 2024… [read post]
