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23 Sep 2008, 4:05 pm
Christopher Cox, the chairman of the Securities and Exchange Commission, urged Congress on Tuesday to pass a law [...] [read post]
14 May 2020, 10:00 pm
In a recent keynote speech, Co-Director of the US Securities and Exchange Commission’s Division of Enforcement Steven Peikin made it clear that the Division has made coronavirus (COVID-19) related enforcement matters a top priority and is dedicating significant time and resources to respond to such issues. [read post]
7 Dec 2020, 3:46 pm
Securities and Exchange Commission (SEC) failed to... [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]
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]
19 Apr 2012, 8:50 am
(AMEX: HUSA) has disclosed that it is the subject of formal investigation by the Securities and Exchange Commission. [read post]
28 Nov 2007, 5:40 am
The Securities and Exchange Commission is expected to adopt a proposal Wednesday that allows companies to bar shareholders from access to ballots for board elections. [read post]
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]
16 Nov 2018, 1:07 pm
On October 31, 2018, the United States Securities and Exchange Commission (the “SEC”) announced that it adopted rules to modernize mining property disclosure in order to harmonize SEC disclosure requirements with international standards. [read post]
30 Nov 2006, 12:50 am
Interesting article from the National Law Journal:The chief executive of high-tech Sun Microsystems Inc. thinks it is high time Web logs-called blogs-get their due from the Securities and Exchange Commission by allowing company blog posts to supplant traditional press releases... [read post]
26 Dec 2006, 1:54 pm
UnitedHealth Group, the health-insurance giant, said Tuesday that it has received a formal order of investigation by the Securities and Exchange Commission related to stock-options backdating. [read post]
4 May 2011, 12:10 pm
., the bankrupt shell of closed thrift Washington Mutual, has spent more than $400 million on expenses relating to its more than 2-year-old bankruptcy case, according to a recent filing with the Securities and Exchange Commission. [read post]
11 Mar 2021, 10:00 pm
In the piece, they outline the US Securities and Exchange Commission’s areas of focus and best practices for developing an ESG program and disclosures. [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]
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]
15 Oct 2010, 6:51 pm
The Securities Exchange Commission is reporting here that Former Countrywide CEO Angelo Mozilo will pay the SEC $22.5 million to settle SEC charges "that he and two other former Countrywide executives misled investors as the subprime mortgage crisis emerged. [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]
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]
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]
11 Mar 2021, 10:00 pm
In the piece, they outline the US Securities and Exchange Commission’s areas of focus and best practices for developing an ESG program and disclosures. [read post]
