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1 Mar 2010, 4:52 am
Madoff years ago, tells The New York Times Magazine that while the Securities and Exchange Commission has made some improvements, it remains "poisoned by lawyers. [read post]
18 Jul 2023, 10:00 pm
Partner Ignacio Sandoval is featured in a Law360 article covering the US Securities and Exchange Commission’s proposed changes to the Customer Protection Rule, which would impact about 63 carrying broker-dealers and potentially require more frequent deposits into customer and proprietary accounts of broker-dealers’ reserve bank accounts. [read post]
10 Jul 2024, 6:00 am
On June 27, 2024, the Supreme Court released its opinion in Securities and Exchange Commission v. [read post]
28 Nov 2006, 4:57 am
The Securities and Exchange Commission has scheduled a public meeting for Monday to consider two measures that would tighten rules governing hedge funds. [read post]
5 Dec 2007, 4:53 am
In a federal court action, the Securities and Exchange Commission charged that a Michigan hedge fund manager told investors that one of its funds had $2.1 million in assets, when the fund was down to only $200,000. [read post]
1 Apr 2008, 4:54 am
Go to Energy Recovery Filing with the Securities and Exchange Commission » [read post]
23 Sep 2008, 12:07 pm
By Monday evening, the number of companies on the list rose to nearly 900, from 799 on Friday, when the Securities and Exchange Commission sought to restrict bearish [...] [read post]
30 Jul 2020, 10:00 pm
Morgan Lewis partners Eric Sitarchuk and Matt Miner and associates Jaclyn Whittaker and Amanda Robinson authored a Bloomberg Law article about the US Department of Justice and Securities and Exchange Commission’s updated guide on the Foreign Corrupt Practices Act (FCPA). [read post]
3 Nov 2020, 10:00 pm
On October 28, 2020, the US Securities and Exchange Commission voted 3–2 to adopt Rule 18f-4 under the Investment Company Act of 1940, which will replace decades-old SEC and staff guidance with an updated, comprehensive framework for registered funds’ use of derivatives. [read post]
24 Feb 2020, 1:01 pm
Securities and Exchange Commission. [read post]
4 Sep 2024, 10:00 pm
The US Securities and Exchange Commission (SEC), by a 3-2 vote, recently adopted amendments to registered fund reporting requirements on Form N-PORT and Form N-CEN and provided guidance on open-end funds’ liquidity risk management programs. [read post]
4 Feb 2011, 1:16 pm
That was a top message from Securities and Exchange Commission leaders today during "The SEC Speaks," an annual conference sponsored by the Practicing Law Institute. [read post]
14 Aug 2022, 10:00 pm
Associates Rachel Mann and Timothy Durbin authored a column for GreenBiz discussing proposed regulations from the US Securities and Exchange Commission (SEC) and US Department of Labor (DOL) that highlight the potential impact of environmental, social, and governance (ESG) factors on corporate financial performance. [read post]
15 Nov 2022, 10:00 pm
Partners Kelly Gibson and Liz Goldberg, along with associate Michael Hacker, wrote an article for Reuters addressing ways companies and asset managers can help ensure disclosures related to environmental, social, and governance issues do not invite an investigation or enforcement action from the US Securities and Exchange Commission (SEC). [read post]
16 Oct 2014, 3:13 pm
Securities and Exchange Commission’s first market manipulation case against a high-frequency trading firm. [read post]
4 Sep 2024, 10:00 pm
The US Securities and Exchange Commission (SEC), by a 3-2 vote, recently adopted amendments to registered fund reporting requirements on Form N-PORT and Form N-CEN and provided guidance on open-end funds’ liquidity risk management programs. [read post]
3 Dec 2020, 10:00 pm
The Nasdaq Stock Market (Nasdaq) announced that it had submitted a proposal to the US Securities and Exchange Commission (SEC) seeking approval of new listing rules to advance board diversity and increase transparency to investors regarding the diversity characteristics of Nasdaq-listed company boards. [read post]
9 Jun 2011, 3:45 am
The Securities and Exchange Commission says investors should be “especially careful” given the potential risks of investing in companies that have gone public through reverse mergers, either because they may be undercapitalized or haven’t faced enough scrutiny from regulators. [read post]
11 Jun 2020, 10:00 pm
Public companies should consider recent guidance from the US Securities and Exchange Commission, increased examination and enforcement activity at both federal and state levels, and possible shareholder activism, among other effects of the coronavirus (COVID-19) pandemic. [read post]
30 Jul 2020, 10:00 pm
Morgan Lewis partners Eric Sitarchuk and Matt Miner and associates Jaclyn Whittaker and Amanda Robinson authored a Bloomberg Law article about the US Department of Justice and Securities and Exchange Commission’s updated guide on the Foreign Corrupt Practices Act (FCPA). [read post]
