Search for: "In Re Securities and Exchange Commission"
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3 Jun 2022, 6:31 am
Securities and Exchange Commission, on Friday, May 27, 2022 Tags: Asset management, ESG, Institutional Investors, SEC, SEC rulemaking, Securities regulation, Transparency Repricing Underwater Options Posted by Colin J. [read post]
3 Jun 2022, 6:31 am
Securities and Exchange Commission, on Friday, May 27, 2022 Tags: Asset management, ESG, Institutional Investors, SEC, SEC rulemaking, Securities regulation, Transparency Repricing Underwater Options Posted by Colin J. [read post]
2 Jun 2022, 9:09 pm
Securities and Exchange Commission rule mandating chief financial officer (CFO) compensation disclosures. [read post]
2 Jun 2022, 7:30 pm
These debt securities were re-named “L Bonds” in January 2015, according to a June 3, 2020 prospectus. [read post]
2 Jun 2022, 8:11 am
Relationships like this one are under scrutiny by the Securities and Exchange Commission, people close to the inquiry said. [read post]
1 Jun 2022, 6:31 am
Recent rulings in the United States and overseas, coupled with the Securities and Exchange Commission’s (SEC) recently proposed disclosure rules covering climate-risk disclosures, underscore the attention boards of directors and management must continue to pay to climate change and its potential impact on business operations and the risks faced by companies across all sectors of the economy. [read post]
1 Jun 2022, 6:31 am
Recent rulings in the United States and overseas, coupled with the Securities and Exchange Commission’s (SEC) recently proposed disclosure rules covering climate-risk disclosures, underscore the attention boards of directors and management must continue to pay to climate change and its potential impact on business operations and the risks faced by companies across all sectors of the economy. [read post]
31 May 2022, 6:06 am
“Replacement Theory” and the Genocide Worry In May 2022, a white supremacist with an assault rifle opened fire in a Tops Supermarket that served a predominantly Black neighbourhood of Buffalo, New York. [read post]
27 May 2022, 4:00 am
Brian Kemp defeated challenger David Perdue in a landslide and Secretary of State Brad Raffensperger won re-nomination. [read post]
26 May 2022, 9:03 pm
Securities and Exchange Commission. [read post]
26 May 2022, 9:01 pm
” The Securities and Exchange Commission (SEC) proposed a rule to standardize disclosures about cybersecurity by public companies. [read post]
25 May 2022, 9:01 pm
In this article, we begin with the Securities and Exchange Commission (“SEC”) regulations that mandate risk disclosures, and the federal statutes that create civil liability for misleading statements. [read post]
24 May 2022, 9:05 pm
Of course, the SEC can seek to hold Musk in contempt, but suppose it has an alternative idea: Under Section 21(d)(2) of the Exchange Act, the Commission could ask a federal court to prohibit Musk “from acting as an officer or director” of any “reporting” issuer. [read post]
23 May 2022, 9:22 am
Before sitting down for her now-famous 60 Minutes interview, former Facebook employee Frances Haugen had filed eight complaints with the Securities and Exchange Commission (SEC). [read post]
23 May 2022, 9:08 am
Of those who provide tips to the Securities and Exchange Commission (SEC) whistleblowing program, an estimated 20% are anonymous when they submit their information. [read post]
23 May 2022, 8:54 am
But what if you and another colleague both decide to go to the Securities and Exchange Commission (SEC) and become joint whistleblowers? [read post]
23 May 2022, 8:42 am
The Securities and Exchange Commission (SEC) understands that some whistleblowers may have participated in the wrongdoing at issue. [read post]
20 May 2022, 6:29 am
The Securities and Exchange Commission (SEC) rules make it clear that, of course, a false statement does suffice, but the law does not require that someone affirmatively says a falsehood to commit securities fraud. [read post]
19 May 2022, 9:05 pm
Securities and Exchange Commission’s (SEC) use of internal judges is unconstitutional. [read post]
18 May 2022, 9:01 pm
I’m honored to appear before you for the second time as Chair of the Securities and Exchange Commission. [read post]
