Search for: "Securities and Exchange Commission"
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13 Dec 2016, 11:58 am
Securities and Exchange Commission Chair Mary Jo White has vowed to press on in her efforts to adopt new rules related to derivatives and mutual funds, among other issues, says a Reuters report. [read post]
4 Oct 2011, 11:17 am
Recently I wrote about an internal investigation I did for a company which received a whistleblower complaint, sent to executives, the board of directors, and the Securities and Exchange Commission. [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]
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]
1 Apr 2011, 3:38 pm
The Los Angeles company warned in a filing with the Securities and Exchange Commission Thursday... [read post]
17 Nov 2006, 5:19 am
Rule changes for corporate financial controls that regulators will soon put forward will be significant and aimed at reducing compliance costs for companies while ensuring that investors are protected, the head of the Securities and Exchange Commission said yesterday. [read post]
19 Jun 2010, 2:13 pm
Eric Chaffee will be presenting his idea, "A Modest Proposal for a Global Securities and Exchange Commission," in the afternoon--and I'm certainly looking forward to that, as well as... [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]
29 Aug 2007, 4:28 am
In the latest aftershock of the options backdating investigations, the Securities and Exchange Commission on Tuesday charged the former general counsel of KLA-Tencor and Juniper Networks with civil fraud charges. [read post]
18 May 2010, 11:17 am
Securities and Exchange Commission in an attempt to prevent the type of market volatility seen on May 6th. [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]
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]
14 Oct 2020, 10:00 pm
On October 7, 2020, the US Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Rule) under the Investment Company Act of 1940 (Act) and related amendments (Amendments) that are collectively designed to provide a more consistent and efficient regulatory framework for funds that invest in other funds (“fund of funds” arrangements). [read post]
17 Apr 2009, 10:55 am
The acquisition agreement was filed with the Securities and Exchange Commission last Friday. [read post]
3 Nov 2009, 8:30 am
The Finger family of Texas, a large Bank of America shareholder, filed a notice Tuesday with the Securities and Exchange Commission calling on Kenneth D. [read post]
17 Nov 2008, 7:23 pm
An SEC press release reports that "[t]he Securities and Exchange Commission today charged Dallas entrepreneur Mark Cuban with insider trading for [allegedly] selling 600,000 shares of the stock of an Internet search engine company on the basis of material, non-public... [read post]
16 Sep 2010, 2:14 pm
Schapiro, the chairwoman of the Securities and Exchange Commission, said Thursday that the public should not be able to see details of the S.E.C.'s policing of financial firms because it could make the agency's job more difficult. [read post]
8 Jul 2010, 8:29 am
Former Ropes & Gray associate Brien Santarlas, who pleaded guilty last year to charges that he sold confidential information about firm clients to investors, settled civil charges with the Securities and Exchange Commission late Wednesday. [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]
16 May 2016, 2:18 pm
As of Monday, a new law enforced by the Securities and Exchange Commission will let companies court investors through a crowdfunding framework that will give more people the chance to be investors and equity shareholders. [read post]
