Search for: "United States Securities and Exchange Commission"
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26 Mar 2023, 9:01 pm
On March 9, 2023, the Securities and Exchange Commission (the “SEC”) Enforcement Division’s Crypto Assets and Cyber Unit announced a settlement with Blackbaud, Inc. involving allegations of inadequate disclosure controls and procedures and material misstatements and omissions concerning a 2020 cybersecurity incident. [read post]
23 Mar 2023, 7:19 am
After spending seven years as a proposal in limbo, the Securities and Exchange Commission ("SEC") adopted a "Pay Versus Performance" rule in August of 2022, finally meeting the statutory mandate set forth in the Dodd-Frank Act. [read post]
22 Mar 2023, 12:15 am
But wait, there's even more, the holding company and its non-bank was also subject to regulation by the Securities and Exchange Commission as well as at least two self-regulatory organizations - the Financial Industry Regulatory Authority, Inc. and The Nasdaq Stock Market LLC. [read post]
21 Mar 2023, 7:46 am
FINRA, a self-regulatory organization that oversees the securities industry in the United States, maintains the FINRA CRD. [read post]
17 Mar 2023, 12:13 pm
Securities and Exchange Commission from whistleblowers in the UK. [read post]
16 Mar 2023, 9:05 pm
NBFI is generally most active in jurisdictions, like the United States, with robust capital markets that power investment in large and small-and-medium sized enterprises and which have high levels of retail and institutional investor participation. [read post]
15 Mar 2023, 6:54 am
The article states that this individual “said he has not yet filed an official whistleblower complaint with the [Securities and Exchange Commission], and his claims have not been corroborated by an official investigation. [read post]
15 Mar 2023, 4:45 am
OTHER DOMESTIC DEVELOPMENTS The Justice Department and the Securities and Exchange Commission have opened investigations into last week’s collapse of Silicon Valley Bank, people familiar with the matter have confirmed. [read post]
13 Mar 2023, 6:10 am
Alternatively, the alien can be “paroled,” i.e., released into the United States on conditions pending resolution of his application. [read post]
13 Mar 2023, 2:31 am
Security Council, except Russia, and many technologically leading States, support. [read post]
9 Mar 2023, 1:46 pm
The SEC appreciates the assistance of the Federal Trade Commission and the Offices of the Attorneys General for the States of Indiana and Vermont. [read post]
8 Mar 2023, 12:31 pm
Securities and Exchange Commission (SEC) Commissioner Allison Herren Lee has joined the firm as Of Counsel. [read post]
6 Mar 2023, 9:01 pm
The securities markets are now more global in nature. [read post]
6 Mar 2023, 1:41 am
Journalist and ghost-writer Isabel Oakeshott has released over 100,000 WhatsApp messages from former Health Secretary Matt Hancock to The Daily Telegraph, revealing exchanges between Mr Hancock and his colleagues about COVID policy at the height of the pandemic. [read post]
5 Mar 2023, 9:01 pm
The staff of the Securities and Exchange Commission’s (SEC’s) Division of Corporate Finance recently issued guidance to address open questions related to the final pay-versus-performance (PVP) disclosure rules adopted in 2022. [read post]
3 Mar 2023, 9:43 am
Securities and Exchange Commission (SEC) has implemented rules to take legal action against employers who retaliate against whistleblowers who report securities law violations to the SEC in writing. [read post]
1 Mar 2023, 12:38 pm
Alumna of the Year Joan McKown Joan McKown, LW’83, has more than 30 years of experience in Securities and Exchange Commission (SEC) enforcement and financial regulatory matters including investigations, exams, internal investigations, and disputes throughout the United States. [read post]
1 Mar 2023, 5:16 am
In September 2022, the EU Commission published its proposed [read post]
27 Feb 2023, 1:18 pm
Stanford Financial collapsed in February 2009 after investigations by the Securities and Exchange Commission questioned whether the returns on the company’s C.D.s were too good to be true. [read post]
24 Feb 2023, 5:25 am
The European Commission has banned staffers from using the Chinese-owned social media app TikTok on their work devices due to security concerns. [read post]
