Search for: "Securities and Exchange Commission"
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11 Mar 2004, 7:24 am
At its public meeting Thursday, the members of the Securities and Exchange Commission voted to approve a regulation that would require mutual funds to disclose detailed information on the managers of fund portfolios, including their names, compensation, and whether they themselves owned fund shares. [read post]
10 Jan 2007, 5:23 am
In a filing with the Securities and Exchange Commission, [...] [read post]
30 Sep 2021, 10:00 pm
The article details Securities and Exchange Commission disclosure strategies and protocol. [read post]
18 Feb 2021, 10:00 pm
Partners Christine Lombardo, John O’Brien, and Steven Stone; of counsel Monica Parry; and associates Brian Baltz, Robert Raghunath, and Ellen Weinstein authored a piece for Wall Street Lawyer about the US Securities and Exchange Commission’s (SEC’s) new Marketing Rule. [read post]
15 Jul 2008, 6:33 pm
Now, the Securities and Exchange Commission is clamping down on them. [read post]
6 Apr 2009, 4:16 am
On Wednesday, the Securities and Exchange Commission plans [...] [read post]
15 Jan 2008, 4:37 am
A former broker at UBS Financial Services has agreed to settle charges he participated in a multi-million dollar hedge fund fraud, the Securities and Exchange Commission said on Monday. [read post]
23 Jun 2024, 10:00 pm
The US Securities and Exchange Commission has adopted amendments to Regulation S-P requiring entities under its remit to provide notice to individuals affected by certain types of data breaches. [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]
22 May 2012, 1:26 am
Connolly, Watchung, New Jersey, has been charged by The Securities and Exchange Commission with operating a Ponzi-like scheme involving a series of investment vehicles formed for the purported purpose of purchasing and managing rental apartment buildings in New Jersey and Pennsylvania. [read post]
25 Sep 2017, 10:56 am
Alexander and Jennifer Arlen (Securities and Exchange Commission (SEC) and New York University School of Law) have posted Does Conviction Matter? [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]
3 Jan 2021, 10:00 pm
Investment advisers’ advertising and solicitation practices, and the media through which investment advisers communicate with clients and investors, have evolved considerably since the US Securities and Exchange Commission (SEC) adopted Rule 206(4)-1 (the Advertising Rule) in 1961 and Rule 206(4)-3 (the Cash Solicitation Rule) in 1979. [read post]
27 Jan 2022, 2:22 pm
The WSJ reports: The Securities and Exchange Commission voted 3-1 to issue a proposal that would increase the amount and timeliness of confidential information that private-equity and hedge funds... [[ This is a content summary only. [read post]
3 May 2022, 2:57 pm
From WealthBriefing.com: A group of 22 law and finance professors in the US have urged the Securities and Exchange Commission to scrub plans to force publicly listed companies to disclose the climate... [[ This is a content summary only. [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 Nov 2009, 10:41 pm
The Securities and Exchange Commission today announced insider trading charges against nine defendants in a case involving serial insider trading by a ring of Wall Street traders and hedge... [read post]
19 Oct 2008, 8:42 am
I see that my law school acquaintance, now head of the federal Securities and Exchange Commission, Christopher Cox, is in The New York Times today, arguing that Congress should give his agency authority over the dangerous financial derivatives market, which... [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]
20 Dec 2011, 2:25 am
The Securities and Exchange Commission has brought fraud chargesagainst Heart Tronics Inc. [read post]
