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21 Jul 2010, 1:29 pm
The Securities & Exchange Commission announced today that David Blass has been named an associate general counsel for legal policy in the agency's Office of the General Counsel. [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]
30 Jul 2020, 10:00 pm
Morgan Lewis partners Eric Sitarchuk and Matt Miner and associates Jaclyn Whittaker and Amanda Robinson authored a Bloomberg Law article about the US Department of Justice and Securities and Exchange Commission’s updated guide on the Foreign Corrupt Practices Act (FCPA). [read post]
23 Jan 2009, 4:31 pm
The company disclosed in a filing with the Securities and Exchange Commission [...] [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]
5 Feb 2003, 1:13 pm
[JURIST] Watch recorded video [via FedNet] of the Senate Banking Committee's Wednesday hearing to consider the nomination of William Donaldson to be a member of the US Securities and Exchange Commission. [read post]
16 Jun 2009, 9:25 am
Kanjorski, the Pennsylvania Democrat, has strongly urged the Securities and Exchange Commission to release its internal investigation into how the agency missed the Bernard L. [read post]
23 Sep 2019, 12:43 pm
The program, modelled after the program at the Securities and Exchange Commission, would protect accountants, auditors and others who report fraudulent accounting from retaliation, and —... [read post]
14 Apr 2010, 6:55 am
Securities and Exchange Commission issued a set of final rules relating to enhanced proxy disclosures, which require reporting companies to provide greater and more detailed disclosures in their proxy filings. [read post]
3 Dec 2020, 10:00 pm
The Nasdaq Stock Market (Nasdaq) announced that it had submitted a proposal to the US Securities and Exchange Commission (SEC) seeking approval of new listing rules to advance board diversity and increase transparency to investors regarding the diversity characteristics of Nasdaq-listed company boards. [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]
11 Jan 2024, 7:06 am
Grubir Grewal, the Director of the Securities and Exchange Commission’s Division of Enforcement recently reflected on his… The post Education, Engagement, Execution and Enforcement: Comments from the SEC Enforcement Division Chief appeared first on TZ Legal - Fraud Fighters. [read post]
23 Apr 2008, 10:10 am
The agreement, filed with the Securities and Exchange Commission, sets out the terms upon which they will complete this deal — or, if things don’t [...] [read post]
10 Apr 2018, 6:16 am
The recent settlement agreement between Kinross Gold Company and the Securities and Exchange Commission is a reminder to Canadian cross-listed companies that it is not enough to adopt a parent-company level anti-corruption policy designed to promote compliance with the Foreign Corrupt Practices Act (FCPA). [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]
30 May 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) recently approved a proposed environmental, social, and governance (ESG) rulemaking for investment advisers and funds. [read post]
12 Jan 2008, 7:38 am
According to SEC Publishes Text of RAND Report on Investment Adviser, Broker-Dealer Industries, 2008-1, Jan. 3, 2008: The Securities and Exchange Commission has received and posted on its Web site the text of the RAND Corporation's final report on practices... [read post]
16 Dec 2010, 10:03 am
Former Winston & Strawn partner Jonathan Bristol today was charged by the Securities and Exchange Commission with aiding and abetting a multimillion dollar fraud by financial advisor Kenneth Starr. [read post]
9 Jun 2011, 3:45 am
The Securities and Exchange Commission says investors should be “especially careful” given the potential risks of investing in companies that have gone public through reverse mergers, either because they may be undercapitalized or haven’t faced enough scrutiny from regulators. [read post]
2 Feb 2007, 4:53 am
The Securities and Exchange Commission mishandled its inquiry into suspect trades by a prominent hedge fund, then may have tried to cover up those mistakes after its chief investigator on the case complained, according to an interim Senate report released Thursday. [read post]
