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26 Jul 2006, 1:17 pm
SEC Reforms Executive Compensation DisclosureThe SEC has adopted a sweeping overhaul of its rules governing disclosure of executive and director compensation, related person transactions, director independence and other corporate governance matters. [read post]
20 Dec 2011, 3:56 am
SEC Enforcement's "Leveraging the Media" Strategy As most of us in the securities law community know, the SEC tends to bring cases that target celebrities if they can because of their limited resources. [read post]
14 Sep 2023, 2:21 pm
Here is the SEC Complaint https://www.sec.gov/files/litigation/complaints/2023/comp-pr2023-176.pdf JEFFREY NEWMAN IS A WHISTLEBLOWER WHO HANDLES CLAIMS UNDER THE SEC WHISTLEBLOWER PROGRAM AS WELL AS HEALTHCARE FRAUD MATTERS UNDER THE FALSE CLAIMS ACT. [read post]
16 Aug 2015, 1:08 pm
The SEC allows non regulated companies to sell securities without having to register the securities with the SEC but instead file a “Form D. [read post]
16 Aug 2015, 1:08 pm
The SEC allows non regulated companies to sell securities without having to register the securities with the SEC but instead file a “Form D. [read post]
8 Dec 2008, 1:51 pm
SEC Adopts Credit Rating Agency Reform; Differentiation for Future ActionThe SEC approved a series of measures to increase transparency and accountability at credit rating agencies, and ensure that firms provide more meaningful ratings and greater disclosure to investors. [read post]
14 Nov 2013, 8:11 am
The latest edition of the SEC New Digest is available here. [read post]
22 Aug 2012, 3:29 am
Payday at the SEC: The First Dodd-Frank Whistleblower Award The SEC announced that it has paid its first financial award to a whistleblower who provided "documents and other significant information that allowed the SEC's investigation to move at an accelerated pace and prevent the fraud from ensnaring additional victims. [read post]
16 Jan 2024, 9:08 am
The SEC alleges that J.P. [read post]
16 Jan 2023, 7:16 am
Hiring experienced SEC counsel may significantly increase your chances of the SEC initiating an investigation based on your information. [read post]
18 Sep 2023, 1:15 pm
SEC Chair Gensler has been unwilling to release clear guidance to the marketplace as to what precisely the SEC consider a security, and such an SEC position is not unusual– the forms of deals (whether NFTs or other offerings) are varied and fluid, and the SEC often has waited years to see what is happening in the marketplace before giving guidelines. [read post]
27 Jan 2022, 9:00 am
SEC Whistleblower Program Amendments Favor Whistleblowers Amendments to the SEC Whistleblower Program, which became effective in 2021, favored whistleblowers. [read post]
21 Jan 2014, 6:00 am
Based upon the information Herckis provided, the SEC was able to take emergency action and freeze the fund's assets within weeks of Herckis reaching out to the SEC. [read post]
10 Aug 2023, 5:37 am
” This will not only help investors compare risks between companies, it will also allow the SEC to align its requirements with those of its counterparts around the world.The letter closes by acknowledging the pushback the SEC has received from conservative stakeholders. [read post]
16 Jan 2024, 10:57 am
With the January 10 order, the SEC conceded defeat. [read post]
24 Dec 2008, 12:35 am
SEC Action Allows Central Counterparty for Credit Default SwapsThe SEC approved temporary exemptions allowing LCH.Clearnet Ltd. to operate as a central counterparty for credit default swaps. [read post]
1 Oct 2007, 9:20 pm
Jess Westbrook, Bloomberg News has an article in the Houston Chronicle titled, "Former Dynegy Figure Settles With SEC. [read post]
3 Jun 2009, 1:42 pm
SEC Commissioner Luis A. [read post]
25 May 2011, 3:02 pm
The new SEC whistleblower program, implemented under Section 922 of the Dodd-Frank Act, is... [read post]
3 Jan 2012, 11:00 am
Both Judge Rakoff and attorneys for the SEC have worked hard over the holidays! [read post]
