Search for: "Securities and Exchange Commission"
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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]
23 Sep 2013, 7:55 am
Last week, the Securities and Exchange Commission (SEC) released a rule requiring companies to disclose the CEO-to-worker pay ratio. [read post]
30 Jul 2012, 1:36 pm
A lawyer for a former Citigroup Inc. employee accused of misleading investors in a $1 billion mortgage-bond deal called on the lovable children's character Waldo on Monday to demonstrate how he claims the Securities & Exchange Commission focused its civil case on actions by others, rather than his client. [read post]
30 Mar 2022, 10:00 pm
Per the Holding Foreign Companies Accountable Act, the US Securities and Exchange Commission has begun identifying public companies that retained audit firms that the Public Company Accounting Oversight Board has determined it cannot inspect completely due to a position taken by the authorities in a foreign jurisdiction. [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]
24 Aug 2020, 2:25 pm
Partners Matthew Miner and Eric Sitarchuk and associates Jaclyn Whittaker and Amanda Robinson contributed an article to the newsletter Corporate Governance Advisor regarding the updated resource guide issued by the US Department of Justice (DOJ) and US Securities and Exchange Commission (SEC) in July. [read post]
30 Sep 2010, 12:36 pm
The Securities & Exchange Commission today filed two fraud cases targeting companies that issued false press releases designed to artificially inflate their stock prices. [read post]
27 Oct 2024, 10:00 pm
Compliance with the US Securities and Exchange Commission’s (SEC’s) new Rule 13f-2 is required as of January 2, 2025. [read post]
15 Jun 2010, 3:50 pm
CNBC host Maria Bartiromo sat down Monday evening with Securities and Exchange Commission chairman Mary Schapiro to discuss Schapiro's very busy year-plus as the agency's head, the "flash crash," and secrets to her success. [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]
23 Jun 2008, 11:31 am
The Federal Reserve and Securities Exchange Commission are finalizing an agreement to start the process of redrawing how Wall Street is regulated, The Wall Street Journal reported. [read post]
22 Apr 2007, 8:35 pm
The Office of Compliance Inspections and Examinations of the Securities and Exchange Commission has annouced the release of new guidance for compliance with Anti-Money Laundering Laws. [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]
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]
5 Dec 2006, 8:38 am
In defending the handling of their investigation of Pequot Capital Management, the Securities and Exchange Commission has argued that former S.E.C investigator Gary Aguirre did not have enough evidence to justify questioning John Mack, now the chief executive of Morgan Stanley, in the case. [read post]
1 Apr 2008, 4:54 am
Go to Energy Recovery Filing with the Securities and Exchange Commission » [read post]
25 Apr 2008, 4:37 am
The Senate Banking Committee held a hearing this week to beat up on the credit rating agencies and to push the Securities and Exchange Commission to impose tough regulations on them as quickly as possible. [read post]
29 Jun 2012, 1:40 am
Palmer and his firm, National Note of Utah, LC, West Jordan, Utah, have been issued a temporary restraining order and have had their asset frozen by The Securities and Exchange Commission for allegedly operating a real estate-based Ponzi scheme that bilked $100 million from investors nationwide. [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]
