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10 Sep 2019, 5:14 am
In what is turning out to be a busy summer at the SEC for issuing new rules and interpretations applicable to RIAs, the Commission has just released detailed guidance clarifying the proxy voting obligations of SEC-registered advisers. [read post]
30 Sep 2015, 3:50 am
We’re posting memos about the proposal in our “SEC Enforcement” Practice Area. [read post]
1 Dec 2010, 2:10 am
SEC Complaint SEC Litigation Release SEC Press... [read post]
23 Aug 2012, 11:51 am
The SEC, through its Chairwoman Mary L. [read post]
10 May 2022, 7:05 am
Hiring experienced SEC counsel will greatly increase your chances of the SEC initiating an investigation based on your information. [read post]
12 Jan 2023, 6:30 am
The former director of the SEC Division of Corporation Finance, Bill Hinman, suggested engagement between shareholders and management might improve if the SEC could “get out of the way. [read post]
12 Jan 2023, 6:30 am
The former director of the SEC Division of Corporation Finance, Bill Hinman, suggested engagement between shareholders and management might improve if the SEC could “get out of the way. [read post]
12 Sep 2022, 3:15 am
SEC Enforcement Director Gurbir Grewal spoke at PLI’s SEC Speaks last Friday, and he noted the efforts that the Division has recently undertaken to diversify the workforce and improve inclusion at the agency, and how that effort can help the SEC do its job better while building trust with the investors that the agency is seeking to protect. [read post]
28 Jan 2019, 11:03 am
The SEC is open for business – first come, first served. [read post]
20 Nov 2020, 6:01 am
As the SEC develops a case, our attorneys can cooperate with the SEC as the SEC exams the records and interviews witnesses. [read post]
21 Jun 2017, 11:07 am
The SEC's position isn't a new one. [read post]
25 Aug 2014, 1:15 pm
The SEC’s penalties impact corporate behavior and serve as a warning to all SEC-regulated entities. [read post]
12 Apr 2019, 11:56 am
They provided the SEC with very important information which allowed the SEC to take action. [read post]
26 Apr 2024, 12:59 pm
In his letter, Grassley requested more information about the reports that the SEC has shared, and he asked several questions about how the SEC made reward determinations. [read post]
31 May 2014, 6:00 am
Although US Securities and Exchange Commission (SEC) enforcement actions related to financial fraud and issuer disclosures have been on a decline since 2007, recent statements and actions suggest that the SEC is likely to re-focus its efforts on detecting, pursuing, and preventing accounting fraud. [1] Since her confirmation as Chair of the SEC, Mary Jo White has made it clear that her administration will focus on identifying and investigating accounting abuses at… [read post]
8 Sep 2023, 12:32 pm
” The SEC therefore found that Monolith violated Rule 21F-17 of the SEC Whistleblower Program which bans employers from impeding an individual from blowing the whistle to the SEC on potential securities violations. [read post]
17 May 2024, 12:17 pm
Notably, the SEC had previously denied the second whistleblower’s award claim for the case in 2022. [read post]
19 Sep 2023, 12:39 pm
Further Reading: SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule More SEC Whistleblower News The post SEC Charges Yet Another Company for Violating Whistleblower Rights appeared first on Whistleblower Network News. [read post]
8 Aug 2009, 5:00 am
Two United States SEC employees are currently under investigation for suspected insider trading and other SEC regulatory violations. [read post]
15 Sep 2010, 1:12 pm
Currently the SEC only has... [read post]
