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14 May 2024, 10:15 am
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover, for breaching their fiduciary duties by failing to…Read the Full Press Release Have a securities law question? [read post]
14 May 2024, 6:12 am
By Suzanne CosgroveThe challenge of financial market oversight is that regulators cannot examine investor protection, efficiency, competition and capital formation in a “steady state ecosystem,” SEC Commissioner Mark Uyeda said Friday in a speech to the Eleventh Annual Conference on Financial Market Regulation, an event co-sponsored by the SEC’s Division of Economic and Risk Analysis (DERA).That’s because the markets are fast-changing, “with multiple… [read post]
14 May 2024, 2:50 am
The SEC, as mandated by Congress, has an important role to promote data as a public good. [read post]
13 May 2024, 10:00 pm
Shadow trading is a form of insider trading that refers to trading in the securities of one company based on material nonpublic information about another company. [read post]
13 May 2024, 9:01 pm
According to SEC, a consultant working for Rio Tinto offered to pay a bribe of at least $822,000 to a Guinean government official in an effort to retain mining rights in the country. [read post]
13 May 2024, 6:19 pm
The French Yearbook of Public Law describes itself this way: The objective of the “French Yearbook of Public Law” is to narrow the gap which has tended to develop between the French and the international debate on public law. [read post]
13 May 2024, 3:42 pm
” See SEC Form 10–K; SEC Form 10–Q. [read post]
13 May 2024, 2:03 pm
For example, former SEC Commissioner Allison Herren Lee wrote an article outlining why these elements were critical to the success of the SEC Whistleblower Program and thus serve as a strong model for the DOJ. [read post]
13 May 2024, 12:24 pm
Short title.This Act may be cited as the “Setting Consumer Standards for Lithium-Ion Batteries Act”.SEC. 2. [read post]
13 May 2024, 8:54 am
SEC adopts climate disclosure rules for corporations. [read post]
13 May 2024, 8:51 am
” The SEC’s complaint, filed in U.S. [read post]
13 May 2024, 8:50 am
” The SEC’s complaint, filed in U.S. [read post]
13 May 2024, 8:45 am
” The SEC’s complaint, filed in U.S. [read post]
13 May 2024, 8:41 am
” The SEC’s complaint, filed in U.S. [read post]
13 May 2024, 8:05 am
Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed a new rule that would require SEC-registered investment advisers (RIAs) and exempt reporting advisers (…Read the Full Press Release Have a securities law question? [read post]
13 May 2024, 6:07 am
SEC, 568 U.S. 442 (2013) (holding that the discovery rule does not apply to the statute of limitations for civil penalty actions brought by the Securities and Exchange Commission under the Investment Advisers Act of 1940); Rotkiske v. [read post]
13 May 2024, 3:30 am
If you have a contemplated capital markets transaction over the course of the next few weeks, it will be important to adjust the timeline for when you will conduct diligence calls, obtain signed documents and make filings with the SEC. [read post]
13 May 2024, 3:25 am
The National Credit Union Administration is expected to take action on the proposed rules in the near future, and the SEC has included a rulemaking to implement Section 956 on its rulemaking agenda. [read post]
13 May 2024, 3:20 am
The SEC’s notable absence from the joint agency action on Section 956 of Dodd-Frank Act inevitably makes one wonder, where are we on SEC rulemaking? [read post]
12 May 2024, 9:05 pm
I examine various ways of measuring these results and demonstrate that the announcement leads to an abnormally high number of downloads of the firm’s SEC filings, a greater number of public M&A offers, bids from outside the announcing firm’s industry, and higher deal value. [read post]
