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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]
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]
10 Oct 2023, 10:51 am
The Securities and Exchange Commission (SEC) announced it has reached a settlement agreement with Monolith Resources LLC (Monolith) to resolve… The post You Can’t Silence the Whistle! [read post]
27 Sep 2008, 6:18 pm
On Friday, Christopher Cox, chair of the Securities and Exchange Commission (SEC) abruptly shut down a voluntary supervision program for Wall Street's largest investment banks, acknowledging that the program had contributed to the global financial crisis: "The last six months... [read post]
8 Aug 2008, 12:14 pm
-based company disclosed in a quarterly report filed late Thursday with the Securities and Exchange Commission that the 5 percent AOL stake that it bought in 2005 [...] [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]
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 Jul 2024, 7:52 am
On June 27, 2024, the Supreme Court of the United States (“SCOTUS”) released its opinion in Securities and Exchange Commission v.... [read post]
6 Feb 2009, 12:39 pm
Two more high-profile Washington lawyers nabbed Obama administration jobs this week, one with the Securities and Exchange Commission, the other with the Justice Department. [read post]
11 Mar 2009, 8:34 am
Merrill Lynch will pay $7 million as part of a settlement with the Securities and Exchange Commission over the use of squawk boxes, the intercom systems that sit on the desks of traders, brokers and salespeople and are commonly used to bark out orders and other internal communications. [read post]
1 May 2009, 6:09 pm
Schapiro, the chairwoman of the Securities and Exchange Commission, wants the authority to regulate what hedge funds can buy and how much money they can borrow to maximize their bets, saying registration falls short of what is needed to police the $1.33 trillion industry. [read post]
6 Mar 2013, 6:00 am
In its annual report filed with the Securities and Exchange Commission, EFH warned about their financial restrictions and limited flexibility, and that any unexpected breach could result in a default of their debt agreements. [read post]
16 Apr 2007, 4:01 pm
The Securities and Exchange Commission today announced the availability of a useful compliance tool to assist broker-dealers in their anti-money laundering (AML) compliance efforts. [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]
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]
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]
28 Jul 2016, 2:57 pm
The new crowdfunding rules that the Securities and Exchange Commission has enacted will introduce a new investment framework for private investors of modest means. [read post]
6 Apr 2022, 10:00 pm
Morgan Lewis partners Lance Dial, Erin Martin, and Kirstin Gibbs drafted an article for Reuters describing key provisions of the US Securities and Exchange Commission’s (SEC’s) proposed climate disclosure rules related to asset management. [read post]
10 Feb 2009, 11:31 am
The US Securities and Exchange Commission is being quizzed over its role in Madoff's Ponzi scheme. [read post]
20 Nov 2009, 3:37 am
The Securities and Exchange Commission must tighten its process for deciding which investment advisers to inspect if it is to avoid colossal breakdowns like the one that allowed Bernard L. [read post]
