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10 Aug 2016, 11:58 am
Circuit yesterday rejected a constitutional challenge to Security and Exchange Commission Administrative Law Judges, ruling that SEC ALJs are not "officers" or "inferior officers" whose appointments need to meet the requirements... [read post]
31 Jan 2011, 6:09 pm
In a remarkably short time period, the Securities and Exchange Commission approved a proposed rule change filed by FINRA to provide investors with the option of selecting an all public arbitrator panel in arbitrations filed against their brokers or brokerage firms in FINRA’s Dispute Resolution forum. [read post]
21 Mar 2024, 10:38 am
On March 6, 2024 the Securities and Exchange Commission (“SEC”) announced a final rule on climate-related disclosures for businesses. [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]
8 Sep 2010, 12:56 pm
-Baltimore investment bank Ferris, Baker Watts, Inc. appears to be off the hook after a Securities & Exchange Commission administrative law judge ruled today that he did not fail to reasonably supervise a rogue broker.... [read post]
25 Jan 2011, 1:52 pm
Merrill Lynch, Pierce, Fenner & Smith Inc. agreed to pay a $10 million fine to settle Securities and Exchange Commission charges that the company misused customer information and charged undisclosed trading fees. [read post]
13 Dec 2006, 5:10 am
After voicing concern about industry fraud and the potential risk to ordinary investors, the Securities and Exchange Commission said Tuesday it is moving to increase the minimum net worth required for an investor to be eligible to invest in hedge funds to $2.5 million from $1 million. [read post]
5 May 2009, 11:01 am
The head of the Securities and Exchange Commission said Tuesday she was making the issue of new rules restricting short-selling a priority as the agency heard from an array of interests about ways to limit trades that bet against a stock, The Associated Press reports. [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]
23 Dec 2008, 4:45 pm
Litigation Release No. 20836 / December 22, 2008 The Securities and Exchange Commission filed a civil injunctive action against UnitedHealth Group Inc., a Minnetonka, Minnesota health insurance company, alleging that it engaged in a scheme to backdate stock options. [read post]
19 Aug 2010, 6:05 am
Suing New Jersey: The Securities and Exchange Commission took aim at troubled public pension systems Wednesday, charging New Jersey with civil fraud for lying about whether it had covered its pension obligations to teachers and other state employees, the Washington... [read post]
12 Sep 2024, 8:00 am
Supreme Court issued its decision in Securities and Exchange Commission v. [read post]
2 Jul 2020, 10:00 pm
On Friday, July 3, the US Department of Justice (DOJ) Criminal Division and the Securities and Exchange Commission (SEC) published the Second Edition of A Resource Guide to the U.S. [read post]
5 Mar 2011, 8:20 pm
Earlier this week, Las Vegas Sands (NYSE:LVS) announced in its 10-K for the year ended December 31, 2010 that it is the subject of an FCPA investigation: On February 9, 2011, LVSC received a subpoena from the Securities and Exchange Commission requesting that the Company produce documents relating to its compliance with the Foreign Corrupt Practices [...] [read post]
16 Sep 2010, 5:33 am
The Securities and Exchange Commission is preparing to take on banks' practice of temporarily lowering their debt levels at quarter end to look financially healthier than they may really be, a trick known as "window dressing," The Wall Street Journal reported Thursday. [read post]
9 Apr 2010, 1:09 pm
The Ontario Securities Commission (OSC) has approved amendments to the Rules of the Toronto Stock Exchange to eliminate the indicative calculated closing price feature on the TSX's Market On Close facility. [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]
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 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]
21 Jun 2018, 8:35 am
Supreme Court on Thursday expanded presidential control over pivotal jobs in federal agencies, ruling that the way the Securities and Exchange Commission selected its in-house judges to enforce investor-protection laws was unconstitutional. [read post]
