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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]
19 Apr 2022, 10:00 pm
In a historical proposed rulemaking, the US Securities and Exchange Commission marked the first time it has indicated that climate-related disclosure is material information that all public companies must provide regardless of industry or size. [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]
14 Apr 2021, 10:00 pm
In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting observations made during recent examinations of investment advisers and funds (both registered and private) engaged in ESG investing. [read post]
20 Dec 2006, 5:06 am
A Russian trader, operating through an Estonian brokerage firm, found a simpler way to pump and dump stocks, the Securities and Exchange Commission said Tuesday. [read post]
27 Jul 2011, 6:07 am
How is that new whistle-blower process working at the Securities and Exchange Commission? [read post]
29 Apr 2022, 6:15 am
As per the relevant press release (via Lawrence Cunningham): "Twenty-two of the nation’s leading professors of law and finance this week wrote the Securities and Exchange Commission (SEC) to dispute the agency’s authority to adopt a new far-reaching climate disclosure... [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]
15 Sep 2011, 10:21 am
., has dismissed a lawsuit filed by Leicester Bryce Stovell, a former Securities and Exchange Commission lawyer and one-time Baker & Hostetler and Jenner & Block associate who claimed to be the basketball star's father, according to sibling publication The National Law Journal. [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]
13 Apr 2018, 7:20 am
His fear of a “grotesquely bastardized” version of the fiduciary duty rule coming out of the Securities and Exchange Commission (SEC) in the near future. [read post]
9 Mar 2017, 1:20 pm
Here is the abstract: In 2016, the Securities and Exchange Commission (SEC) for the first time sought public comment on whether financial... [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]
27 Oct 2006, 5:17 am
In what could be the start of yet another explosive scandal in the mutual fund industry, the Securities and Exchange Commission has launched an investigation into 27 mutual fund companies that the agency says accepted kickbacks totaling hundreds of millions of dollars in recent years, The Wall Street Journal reported. [read post]
19 Jan 2007, 9:22 am
In a filing with the Securities and Exchange Commission, the family, which formerly owned the Times, notes a change of control payments. [read post]
14 Sep 2007, 4:58 am
Securities and Exchange Commission that it plans to offer 75 million common units [...] [read post]
24 Oct 2007, 12:01 pm
The Securities and Exchange Commission recently approved new proposed rules by the Financial Industry Regulatory Authority for fairness opinions by its members. [read post]
5 May 2009, 11:32 am
In what the agency describes as its first insider trading case involving credit default swaps, the Securities and Exchange Commission has charged a former hedge fund portfolio manager and a salesman at Deutsche Bank with sharing nonpublic information about VNU bonds that allowed the portfolio manager to reap a quick profit. [read post]
