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12 Apr 2024, 11:27 am
In addition, the SEC claims that by failing to retain necessary records “some of the firms likely deprived the SEC of these off-channel communications in various SEC investigations. [read post]
24 May 2021, 12:20 pm
The awards are funded by the SEC’s investor protection fund created by Congress and funded by financial sanctions from those who violate SEC laws. [read post]
17 Jun 2010, 4:45 am
After the House agreed to the Senate provision providing that the SEC could become self-funding, Senate conferees had doubts about SEC self-fuding being outside the congressional approproiation process. [read post]
24 Aug 2012, 4:10 pm
Under the program, if a whistleblower submits information that results in a successful SEC enforcement action in which more than $1 million in sanctions is ordered, the SEC will pay up to thirty percent of the money obtained. [read post]
7 Oct 2022, 7:52 am
First, the SEC expanded the circumstances under which whistleblowers may be rewarded for their contributions to non-SEC actions. [read post]
14 Nov 2023, 7:15 am
They demonstrate the SEC’s […] The post SEC Enforcement Action for Rule 21F-17(a) Violations appeared first on Katz Banks Kumin LLP. [read post]
19 Mar 2012, 7:41 am
Webcast: "The SEC Staff on M&A" Tune in tomorrow for the webcast - "The SEC Staff on M&A" - to hear Michele Anderson, Chief of the SEC's Office of Mergers and Acquisitions, and former senior SEC Staffers Dennis Garris of Alston & Bird and Jim Moloney of Gibson Dunn discuss the latest rulemakings and interpretations from the SEC. [read post]
4 Oct 2021, 2:58 am
We’ve been watching with intrigue the steps that the SEC is taking to put an end to “fake SEC filings” and make the filing process more reliable. [read post]
12 Sep 2007, 2:25 am
However, the SEC is focusing on enforcement. [read post]
27 Aug 2021, 6:01 am
An SEC enforcement action announced today highlights a continuing focus on timely disclosure of contingent liabilities. [read post]
23 Sep 2009, 1:12 pm
An SEC official gave some advice on how to respond to a comment letter from the agency on the financial statements. [read post]
10 Dec 2016, 11:51 am
The Securities and Exchange Commission (the “SEC’) announced on December 9, 2016 that it had awarded more than $900,000 to a whistleblower whose tip enabled the SEC to bring multiple enforcement actions against bad actors. [read post]
10 Dec 2016, 11:51 am
The Securities and Exchange Commission (the “SEC’) announced on December 9, 2016 that it had awarded more than $900,000 to a whistleblower whose tip enabled the SEC to bring multiple enforcement actions against bad actors. [read post]
2 Dec 2013, 3:25 am
Should SEC Staffers Be Required to Punch a Clock? [read post]
23 Sep 2009, 4:06 am
SEC Chair Outlines Efforts Promoting Sound Corporate Governance in Line with Global PrinciplesNoting that poor corporate governance contributed to the current financial crisis, SEC Chair Mary Schapiro detailed steps the Commission is taking to enhance transparency and accountability in the governance of public companies. [read post]
7 Apr 2022, 11:49 am
Securities and Exchange Commission (SEC). [read post]
5 Oct 2020, 6:05 am
” The SEC also adopted interpretive guidance regarding the meaning of “independent analysis” as used in the definition of “original information,” and the SEC’s whistleblower office released guidance for award determinations. [read post]
13 Nov 2013, 5:00 am
The SEC did a big (for the SEC) marketing campaign to announce initiative. [read post]
15 Sep 2011, 5:28 pm
The first, the SEC Modernization Act of 2011, would significantly restructure the SEC by, among other things, reducing the number of SEC’s divisions, restructuring the Office of the Chairman, and modifying certain new offices created by the Dodd-Frank Act. [read post]
18 Apr 2024, 7:37 am
The announcement follows prior enforcement actions for similar violations, which we have previously addressed: SEC Fines 9 RIAs for Marketing Rule Violations, SEC Fines Adviser Under New Marketing Rule, and SEC Announces Examinations Under New Marketing Rule. [read post]
