Search for: "US Securities and Exchange Commission"
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20 Feb 2024, 11:40 am
Securities and Exchange Commission (“SEC”) and the European Commission in the European Union (“EU”), are grappling with the environmental impacts generated by companies. [read post]
20 Feb 2024, 4:00 am
The Securities and Exchange Commission issued a Staff Review of the “Accredited Investor” Definition at the end of 2023. [read post]
19 Feb 2024, 10:00 pm
This resource includes discussion on existing and proposed disclosure requirements of the Securities and Exchange Commission (SEC) related to material ESG matters. [read post]
19 Feb 2024, 9:05 pm
Securities and Exchange Commission (SEC) recently proposed a rule that would require public companies to identify and disclose to investors climate-related risks, such as a corporation’s greenhouse gas emissions and vulnerability to extreme weather events. [read post]
18 Feb 2024, 6:38 pm
Our Broker Fraud Attorney Teams Want To Talk To You Nearly one year after the US Securities and Exchange Commission (SEC) permanently barred American Portfolios Financial Services stockbroker Mark Lewton Hopkins, Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to investigate claims of investment losses involving his former clients. [read post]
17 Feb 2024, 3:02 pm
In November 2023, Four Democratic House Representatives sent a letter to the Securities Exchange Commission (SEC) demanding an investigation into Musk’s recent statements regarding the company’s handling of animals. [read post]
16 Feb 2024, 10:22 am
In addition to playing a central role in implementing and enforcing the SOX Act, the Securities and Exchange Commission (SEC), plays a key role in setting and enforcing disclosure requirements, proxy regulations and transparency standards for public companies. [read post]
16 Feb 2024, 6:39 am
The SEC (US Securities and Exchange Commission) has exacting criteria for both submission of whistleblower tips and their issuance of any financial bounties, including the amounts. [read post]
15 Feb 2024, 9:08 pm
An ASIC spokesperson said if you are unsure whether you are dealing with the legitimate business, contact the business by using their publicly listed phone number. [read post]
15 Feb 2024, 9:05 pm
On January 24, 2024, the Securities and Exchange Commission (SEC) adopted final rules that impose significant additional procedural and disclosure requirements on initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and in business combination transactions involving SPACs (de-SPACs). [read post]
15 Feb 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
15 Feb 2024, 4:47 am
The prime ministers of Spain and Ireland asked the European Commission yesterday to urgently review whether Israel is complying with its human rights obligations. [read post]
15 Feb 2024, 2:54 am
Prior to his retirement about 10 years ago at the age of sixty-three, he concentrated on corporate and securities law and represented high technology and financial services companies. [read post]
14 Feb 2024, 10:39 am
On February 6, 2024, by a 3-2 vote, the US Securities and Exchange Commission adopted new rules that expand the definition of “dealer” under the federal securities laws. [read post]
13 Feb 2024, 9:05 pm
This total excludes rules of the stock exchanges, which number in the thousands each year, in all administrations. [read post]
13 Feb 2024, 8:14 pm
In a letter to the Federal Trade Commission and Securities and Exchange Commission, Wyden urged the government to act quickly to protect the privacy of patients, and to hold the data broker accountable for misleading statements about its actions. [read post]
13 Feb 2024, 3:52 pm
The Fines are in Connection with Financial Advisors Using Text Messaging and Other Forms of Direct Communication, like WhatsApp to Communicate with Clients On February 9, 2024, the United States Securities and Exchange Commission (“SEC”) fined sixteen firms a total of $81 million for “widespread and longstanding failures” by firms and their employees “to [...] [read post]
13 Feb 2024, 9:09 am
Department of Treasury whose mission is to safeguard the financial system from illicit use, combat money laundering and its related crimes, and promote national security by strategically using financial authorities and collecting, analyzing, and disseminating financial intelligence. [read post]
13 Feb 2024, 8:44 am
Those that were formed by filing a document with a state corporation commission or similar authority are subject to the Corporate Transparency Act unless an exemption applies. [read post]
13 Feb 2024, 5:06 am
The Securities and Exchange Commission (SEC) reported a record-breaking year for the SEC Whistleblower Program in 2023. [read post]
