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24 Oct 2021, 7:38 am
A Bit of Background—the SEC Turns up the Heat on Climate Disclosure Since the change in administration, the SEC’s focus on climate disclosure has been increasing. [read post]
27 Oct 2011, 12:34 pm
The SEC found that certain documents requested by the SEC’s Chicago Regional Office... [read post]
12 Nov 2013, 6:13 am
Securities and Exchange Commission are conducting an investigation of the SEC's New York office for the possibility of improper investments.According to Reuters, investigators are checking whether the employees' investments comply with SEC internal rules that prohibit trading shares of companies under investigation.The article claims that the investigation appears limited to the New York office of the securities regulator, and there is no indication of widespread flouting of the… [read post]
18 Jan 2023, 8:12 am
We have years of experience representing SEC whistleblowers, coupled with an SEC Enforcement lawyer on our team and an in-depth understanding of how the SEC Whistleblower Program operates. [read post]
3 Jun 2021, 9:45 am
This means that the information provided benefitted both the SEC and the other agency, resulting in an SEC bounty for both. [read post]
22 Dec 2007, 8:11 am
SEC Senior Official Examines Auditor Independence IssuesAt a recent conference, a senior SEC accounting official made some interesting remarks on the ever-popular issue of auditor independence, particularly on the factors the SEC considers when deciding on what is a network firm and on what advice outside auditors could give a company client without impairing their independence. [read post]
8 Apr 2015, 11:42 am
Using SEC v. [read post]
9 Feb 2023, 5:00 am
SEC, February 6, 2023).Seeking clarity on crypto. [read post]
6 Sep 2009, 8:10 am
Atkins, Securities and Exchange Commission (SEC), and Bradley J Bondi, Counsel to SEC Commissioner; Adjunct Professor of Law, was recently posted... [read post]
26 Apr 2022, 10:26 am
” Read: SEC Issues $6 Million Award to Five Whistleblowers Bipartisan SEC Whistleblower Reform Act Introduced More SEC Whistleblower News on WNN The post SEC Grants $6 Million to Five Whistleblowers Who Assisted in Case appeared first on Whistleblower Network News. [read post]
24 May 2023, 10:38 am
According to the SEC, the company had heavily overstated its paid subscriber count, retaliated against an internal whistleblower, and issued 23 severance agreements that impeded communication with the SEC. [read post]
7 Jan 2019, 1:40 pm
Neither of those discussions is much informed by the SEC ratio disclosures. [read post]
20 Feb 2020, 3:02 am
The SEC’s statement says that companies are encouraged to contact the SEC regarding any need for relief or guidance. [read post]
12 Dec 2017, 12:36 pm
Yesterday, the SEC issued an enforcement order regarding Munchee’s token offering and SEC Chairman Jay Clayton released a general public statement on cryptocurrencies and ICOs. [read post]
4 Mar 2022, 8:25 am
Hiring experienced SEC counsel will greatly increase your chances of the SEC initiating an investigation based on your information. [read post]
2 May 2022, 9:18 am
These documents were the crux of the SEC’s case. [read post]
8 Apr 2015, 5:45 am
It appears the SEC is beginning to make good on its threat. [read post]
23 Oct 2020, 1:11 pm
The SEC protects the identity of whistleblowers. [read post]
17 Aug 2010, 7:12 am
The SEC defended the settlement by citing Judge Rakoff’s approval of the earlier SEC BOA settlement. [read post]
23 Feb 2009, 4:42 am
(SEC v. [read post]
