Search for: "Securities and Exchange Commission"
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21 Jul 2024, 10:00 pm
The US Securities and Exchange Commission (SEC), Division of Corporation Finance on June 24, 2024 issued five Compliance and Disclosure Interpretations (C&DIs) on its website to address questions raised by its requirement for public companies to report material cybersecurity incidents under Form 8-K’s new Item 1.05. [read post]
21 Jul 2024, 10:00 pm
The US Securities and Exchange Commission (SEC), Division of Corporation Finance on June 24, 2024 issued five Compliance and Disclosure Interpretations (C&DIs) on its website to address questions raised by its requirement for public companies to report material cybersecurity incidents under Form 8-K’s new Item 1.05. [read post]
21 Jul 2024, 10:00 pm
The US Securities and Exchange Commission (SEC), Division of Corporation Finance on June 24, 2024 issued five Compliance and Disclosure Interpretations (C&DIs) on its website to address questions raised by its requirement for public companies to report material cybersecurity incidents under Form 8-K’s new Item 1.05. [read post]
21 Jul 2024, 10:00 pm
The US Securities and Exchange Commission (SEC), Division of Corporation Finance on June 24, 2024 issued five Compliance and Disclosure Interpretations (C&DIs) on its website to address questions raised by its requirement for public companies to report material cybersecurity incidents under Form 8-K’s new Item 1.05. [read post]
21 Jul 2024, 10:00 pm
The US Securities and Exchange Commission (SEC), Division of Corporation Finance on June 24, 2024 issued five Compliance and Disclosure Interpretations (C&DIs) on its website to address questions raised by its requirement for public companies to report material cybersecurity incidents under Form 8-K’s new Item 1.05. [read post]
21 Jul 2024, 8:23 pm
Liddle, a former registered investment adviser and control person of Prosper Wealth Management in Wausau, was barred by the Financial Industry Regulatory Authority (FINRA), the US Securities and Exchange Commission (SEC), and the Wisconsin Department of Financial Institutions Division of Securities. [read post]
20 Jul 2024, 6:30 am
Jarkesy that when the Securities and Exchange Commission (SEC) seeks civil penalties from defendants for securities fraud, the Seventh Amendment requires it to bring the action in a court of law where the defendant is entitled to a trial by jury. [read post]
20 Jul 2024, 6:30 am
Jarkesy that when the Securities and Exchange Commission (SEC) seeks civil penalties from defendants for securities fraud, the Seventh Amendment requires it to bring the action in a court of law where the defendant is entitled to a trial by jury. [read post]
19 Jul 2024, 12:08 pm
” The AWC focused on Gleason’s actions between July 2020 and June 2021, during which he allegedly breached the Best Interest Obligation under Rule 15l-1(a)(1) of the Securities Exchange Act. [read post]
19 Jul 2024, 10:11 am
The Securities and Exchange Commission’s Division of Enforcement this month launched the Interagency Securities Council (ISC), which invites federal, state, and local regulatory and law enforcement professionals to meet quarterly to discuss the latest in…Read the Full Press Release Have a securities law question? [read post]
19 Jul 2024, 6:31 am
Securities and Exchange Commission (“SEC”) expanded its “war” on AI fraud to include private market participants, filing securities fraud charges against Ilit Raz, founder and former CEO of defunct AI recruitment startup Joonko. [read post]
19 Jul 2024, 6:31 am
Securities and Exchange Commission (“SEC”) expanded its “war” on AI fraud to include private market participants, filing securities fraud charges against Ilit Raz, founder and former CEO of defunct AI recruitment startup Joonko. [read post]
19 Jul 2024, 6:23 am
In some cases, the Securities & Exchange Commission (SEC) may also criminally charge a broker who engages in misconduct. [read post]
19 Jul 2024, 4:08 am
A federal judge in a case stemming from one of the worst known cyberattacks rejected a bid by the Securities and Exchange Commission to regulate corporate cybersecurity controls. [read post]
19 Jul 2024, 3:00 am
District Court Judge Aileen Cannon dismissed the federal criminal case against Donald Trump charging him with amassing highly sensitive national security secrets at his Mar-a-Lago estate and then obstructing government efforts to reclaim them. [read post]
18 Jul 2024, 9:05 pm
Securities and Exchange Commission Chairman Gary Gentler to deny the proposed initial public offering (IPO) by JBS, SA, an international meat packer. [read post]
18 Jul 2024, 9:05 pm
Pritzker Professor of Business Law at the University of Chicago Law School, criticized a Securities and Exchange Commission (SEC) rule that addresses greenwashing, or the use of misleading names to give the appearance of a socially responsible mutual fund. [read post]
18 Jul 2024, 7:15 pm
A representative group of the Financial and Banking Information Infrastructure Committee (FBIIC) member federal agencies (the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the Board of Governors of the Federal Reserve System, the Federal Housing Finance Agency and the Securities and Exchange Commission) provided input to US Treasury on development of the Lexicon, which contains terms and definitions from various industry standards… [read post]
18 Jul 2024, 11:25 am
Securities and Exchange Commission (SEC) announced a $37 million dollar whistleblower award, marking this the first whistleblower award of 2024. [read post]
18 Jul 2024, 10:07 am
Yesterday (July 17), the Securities and Exchange Commission (SEC) announced an award of roughly $37 million “to a whistleblower who provided information not previously known to the SEC and which significantly contributed to a successful enforcement action. [read post]
