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5 Mar 2024, 10:00 pm
In a historical rulemaking, the US Securities and Exchange Commission (SEC) on March 6 adopted rules that require public companies to disclose certain climate-related information in registration statements and annual reports. [read post]
5 Mar 2024, 10:00 pm
In a historical rulemaking, the US Securities and Exchange Commission (SEC) on March 6 adopted rules that require public companies to disclose certain climate-related information in registration statements and annual reports. [read post]
5 Mar 2024, 10:00 pm
In a historical rulemaking, the US Securities and Exchange Commission (SEC) on March 6 adopted rules that require public companies to disclose certain climate-related information in registration statements and annual reports. [read post]
5 Mar 2024, 9:05 pm
Securities and Exchange Commission (SEC) for operating as unregistered securities exchanges, broker-dealers, and clearing agencies. [read post]
5 Mar 2024, 2:26 pm
However, the Appellate Court, like a magician teasing its audience, seized the coin mid-air, handing it over to the Securities and Exchange Commission (“SEC”), leaving the fate of Grayscale’s spot bitcoin ETF application at the hands of the Commission. [read post]
5 Mar 2024, 12:25 pm
Securities Exchange Commission opined that the investment tool the entrepreneurs used to contribute funds to the venture via software were probably investment contracts and subject to securities laws. [read post]
5 Mar 2024, 11:07 am
But this week's record price owes a lot to the US Securities and Exchange Commission (SEC) approving spot-bitcoin exchange-traded funds (ETFs) in early January, which funneled more than $7 billion into various bitcoin investment products in less than two months, The New York Times reported. [read post]
5 Mar 2024, 6:55 am
Securities and Exchange Commission rules on potential conflicts of interest stemming from having an attorney on the board who’s employed by a law firm that receives work from the company. [read post]
5 Mar 2024, 6:30 am
On Jan. 24, 2024, the Securities and Exchange Commission (“SEC”) adopted long-awaited rule changes (“Final Rules”) applicable to special purpose acquisition companies (“SPACs”) and provided related guidance in its adopting release (“Adopting Release”).[1] The Final Rules largely codify the substance of the rules proposed by the SEC on March 30, 2022 (“Proposed Rules”), which were intended to enhance investor… [read post]
5 Mar 2024, 6:30 am
On Jan. 24, 2024, the Securities and Exchange Commission (“SEC”) adopted long-awaited rule changes (“Final Rules”) applicable to special purpose acquisition companies (“SPACs”) and provided related guidance in its adopting release (“Adopting Release”).[1] The Final Rules largely codify the substance of the rules proposed by the SEC on March 30, 2022 (“Proposed Rules”), which were intended to enhance investor… [read post]
5 Mar 2024, 5:40 am
As the study points out, broker-dealers, exchanges and FINRA all maintain detailed, timestamped transactional records that show when securities in one account are transferred to another account. [read post]
4 Mar 2024, 5:56 pm
Congress hoped it would help stop money-laundering by rooting out the use of anonymous shell companies and would track the flow of illicit money and protect U.S. national security interests. [read post]
4 Mar 2024, 2:57 pm
Enforcing the FCPA is a perennial priority for DOJ and the Securities and Exchange Commission (SEC), the agencies with primary responsibility for enforcing the statute. [read post]
4 Mar 2024, 7:36 am
The principles are: Safety, security and robustness. [read post]
4 Mar 2024, 5:56 am
The Marshall Islands National Nuclear Commission has a strategy for achieving nuclear justice, but it requires U.S. cooperation to be fully implemented. [read post]
4 Mar 2024, 2:30 am
He was required to certify in accordance with applicable Securities and Exchange Commission regulations that his reports to UBS customers about the firm’s securities business were independently produced and reflected his own views. [read post]
3 Mar 2024, 7:51 pm
Don’t treat this as optional: Recent attacks on the Securities and Exchange Commission’s official X account and thousands of accounts at 23andMe might have been blocked had those users enabled 2FA. [read post]
1 Mar 2024, 8:33 am
The Securities and Exchange Commission announced settling charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for trucking fleet company Ryder System Inc. [read post]
1 Mar 2024, 8:24 am
Securities and Exchange Commission (SEC) Office of the Whistleblower posted a Notice of Covered Action (NoCA) for a $100 million settlement with global software company SAP SE over charges of violations of the Foreign Corrupt Practices Act (FCPA). [read post]
1 Mar 2024, 7:06 am
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for…Read the Full Press Release Have a securities law question? [read post]
