Search for: "In Re Securities and Exchange Commission"
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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]
30 May 2023, 6:00 am
The justices unanimously held that the statutory review schemes set out in the Securities Exchange Act and Federal Trade Commission Act do not displace a district court’s federal-question jurisdiction over claims challenging as unconstitutional the structure or existence of the Securities and Exchange Commission (SEC) or the Federal Trade Commission (FTC). [read post]
26 May 2023, 6:02 am
WHAT WE’RE READING THIS WEEK In a working paper, John A. [read post]
25 May 2023, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I’m not speaking on behalf of my fellow Commissioners or the SEC staff. [read post]
25 May 2023, 9:25 am
On 23 May 2023, the Securities and Futures Commission (the SFC) published its much anticipated consultation conclusions (the Consultation Conclusions) on the proposed regulatory requirements for virtual asset (VA) trading platform operators (Platform Operators). [read post]
24 May 2023, 6:37 am
Part of Just Security’s work on accountability and election law. [read post]
17 May 2023, 10:33 am
According to a filing with the Securities and Exchange Commission (SEC), MSG Networks and its insurance company disagree over whether and how much the insurance company is expected to pay for the settlement. [read post]
17 May 2023, 6:41 am
Securities and Exchange Commission to resolve its dispute with law firm Covington & Burling over the agency’s demand for the names of 300 clients affected by a cyberattack on the firm. [read post]
16 May 2023, 12:01 am
And so the interactions with disabled people, I think, would be much more welcoming and probably inviting to real, genuine human exchange. [read post]
15 May 2023, 9:51 am
The Securities and Exchange Commission recently released a staff bulletin to offer further guidance to brokers, broker-dealers, and investment advisors. [read post]
11 May 2023, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
11 May 2023, 1:59 pm
” Over the past decade, while the FCA has failed to inspire confidence in whistleblowers, the United States’ Securities and Exchange Commission (SEC) has become hugely successful. [read post]
9 May 2023, 9:01 pm
There is reason to believe the SEC’s new universal proxy Rule 14a-19 will result in more stockholder nominees being elected to the boards of public companies. [read post]
9 May 2023, 11:55 am
Is securities fraud the same thing as investment fraud? [read post]
6 May 2023, 10:49 am
Securities and Exchange Commission 22-963Issues: (1) Whether the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010’s whistleblower award program excludes whistleblowers whose criminal conduct is only tangentially connected to a Securities and Exchange Commission enforcement action (and related actions) and who have pleaded guilty but have not been sentenced; and (2) whether the SEC’s heavily redacted Orders… [read post]
4 May 2023, 9:31 pm
Securities and Exchange Commission to reassess existing exemptions and to collect more data on private markets before exempting additional companies from public disclosure requirements. [read post]
3 May 2023, 11:54 am
Last week, Coinbase launched its first counteroffensive against the Securities Exchange Commission’s (“SEC”) aggressive enforcement posturing in the cryptoeconomy. [read post]
