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22 May 2024, 6:32 am
Key Points Even though the Securities and Exchange Commission’s (SEC’s) climate-related disclosure rules are on hold while court challenges are heard, companies need to prepare for the possibility that some or all parts of the rules will come into effect. [read post]
22 May 2024, 6:32 am
Key Points Even though the Securities and Exchange Commission’s (SEC’s) climate-related disclosure rules are on hold while court challenges are heard, companies need to prepare for the possibility that some or all parts of the rules will come into effect. [read post]
22 May 2024, 6:31 am
Because the SEC and its enforcement attorneys do not personally profit from a successful enforcement action, the SEC has less incentive to aggressively file cases than entrepreneurial enforcers. [read post]
22 May 2024, 6:31 am
Because the SEC and its enforcement attorneys do not personally profit from a successful enforcement action, the SEC has less incentive to aggressively file cases than entrepreneurial enforcers. [read post]
22 May 2024, 6:00 am
The Securities and Exchange Commission today announced that The Intercontinental Exchange, Inc. [read post]
22 May 2024, 6:00 am
On May 21, 2024, staff of the U.S. [read post]
22 May 2024, 3:15 am
” Echoing a key comment from SEC Speaks, the statement also adds the following (which is contemplated by Instruction 2 to Item 1.05): There also may be cases in which a cybersecurity incident is so significant that a company determines it to be material even though the company has not yet determined its impact (or reasonably likely impact). [read post]
22 May 2024, 3:00 am
In March, to help market participants prepare for the upcoming move to T+1, SEC staff published a risk alert, responses to frequently asked questions, and an Investor Bulletin. [read post]
21 May 2024, 9:05 pm
Markham suggests that Section 17(b) of the Securities Act of 1933, which the SEC accused Kardashian, Seagal, and Mayweather of violating, does not clearly empower the SEC to regulate cryptocurrency. [read post]
21 May 2024, 9:01 pm
This determination is an objective standard, and it is intended to be construed in a manner consistent with the SEC’s framework in Regulation Best Interest for assessing whether a broker-dealer has made a recommendation to a retail investor. [read post]
21 May 2024, 12:35 pm
Securities and Exchange Commission Chair Gary Gensler today issued the following statement on the conversion of the U.S. securities market to a T+1 standard settlement cycle, which will take place on May 28, 2024: “For everyday investors who sell their…Read the Full Press Release Have a securities law question? [read post]
21 May 2024, 4:00 am
Nelson, J.D.The House Financial Services Committee voted last week to report a Congressional Review Act (CRA) resolution disapproving the SEC’s latest cybersecurity disclosure regulation. [read post]
21 May 2024, 3:18 am
Yesterday evening, the SEC announced an exemptive order providing an extension to certain companies affected by the suspension. [read post]
21 May 2024, 3:15 am
It discusses the SEC’s continued focus on consistency among various disclosures and its use of earnings calls to comment on SEC filings. [read post]
21 May 2024, 3:00 am
As a reminder, we know this is a focus area for the Staff from a “Dear Issuer” letter posted after the 2023 proxy season and that the Staff is using XBRL tagging to identify PVP disclosures that appeared to be lacking, which the Staff reiterated in recent comments at SEC Speaks and the ABA Business Law Section Spring Meeting. [read post]
20 May 2024, 10:00 pm
Spectrum Sec. [read post]
20 May 2024, 9:05 pm
” Others question that, pointing out that the SEC lacks the power to stop JBS from selling stock in the U.S. [read post]
20 May 2024, 3:55 pm
The Securities and Exchange Commission today provided exemptive relief to certain registrants affected by the permanent suspension of BF Borgers CPA PC and its owner, Benjamin F. [read post]
20 May 2024, 8:06 am
Shugerman, SEC v. [read post]
20 May 2024, 6:57 am
“We see this play out regularly in other industries where the DOJ or SEC wants to be more aggressive in taking enforcement action, but the overseeing agency does not want to upset the offending company or the status quo. [read post]
