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16 Jun 2024, 8:41 pm
FedScoop: ” SEC and CFTC oversight of how investment vehicles use AI to inform trading decisions is lacking and poses risks to market stability, a report from the majority staff of the Senate Homeland Security and Governmental Affairs Committee finds. [read post]
16 Jun 2024, 6:31 am
As a result of recent SEC rule changes, it is argued, the number of ideological proposals has skyrocketed, vote totals have crashed, the no-action success rate has plummeted, and the number of no-action requests submitted by companies has fallen as corporations give up on the SEC being a fair arbiter of Rule 14a-8. [read post]
16 Jun 2024, 6:31 am
As a result of recent SEC rule changes, it is argued, the number of ideological proposals has skyrocketed, vote totals have crashed, the no-action success rate has plummeted, and the number of no-action requests submitted by companies has fallen as corporations give up on the SEC being a fair arbiter of Rule 14a-8. [read post]
15 Jun 2024, 6:31 am
Posted by Arthur B. [read post]
15 Jun 2024, 6:31 am
Posted by Arthur B. [read post]
15 Jun 2024, 6:30 am
Typically, when a company intends to exclude a shareholder proposal from its proxy materials, it will request no-action relief from the SEC staff. [read post]
15 Jun 2024, 6:30 am
Typically, when a company intends to exclude a shareholder proposal from its proxy materials, it will request no-action relief from the SEC staff. [read post]
14 Jun 2024, 5:32 pm
My research assistants and I have scoured SEC filings and various databases to get the answer. [read post]
14 Jun 2024, 1:05 pm
I suspect Justice Gorsuch as SEC v. [read post]
14 Jun 2024, 6:30 am
Riely, Jenner & Block LLP, on Sunday, June 9, 2024 Tags: CISO, cyber disclosure, Cybersecurity, SEC, SEC v. [read post]
14 Jun 2024, 6:30 am
Riely, Jenner & Block LLP, on Sunday, June 9, 2024 Tags: CISO, cyber disclosure, Cybersecurity, SEC, SEC v. [read post]
13 Jun 2024, 11:45 pm
Yet the AI connection is that aspect of the case that both the SEC and the U.S. [read post]
13 Jun 2024, 9:02 pm
Securities and Exchange Commission (SEC) already has the ability to seek penalties in enforcement actions against associated persons when they negligently cause firm violations. [read post]
13 Jun 2024, 9:01 pm
This Public Chatter Blog from Perkins Coie picks up on the recent statement from the SEC’s Office of Structured Disclosure flagging observations by SEC Staff that a number of filers have used incorrect tagging practices in 10-Ks and 10-Qs filed in 2024. [read post]
13 Jun 2024, 9:01 pm
The SEC at 90 Years At the SEC, we had our 90th birthday just one week ago. [read post]
13 Jun 2024, 9:00 pm
This month J.T. and John discuss: The SEC’s New Focus on International Big Tech and the FCPA New DOJ Whistleblower Reward Programs The IRS’s Proposed Guidance on the Stock Buyback Excise Tax The Recent SCOTUS Decision on the Private Right of Action for MD&A Omissions SEC Guidance on Non-Material Cybersecurity Events As always, if you have insights on a securities law, capital markets or corporate governance issue, trend or development that you’d like to… [read post]
13 Jun 2024, 6:29 pm
In past years, speakers have included whistleblowers such as Sherron Watkins and Linda Tripp as well as government officials like SEC Chair Gary Gensler and Secretary of Labor Marty Walsh. [read post]
13 Jun 2024, 12:55 pm
NVIDIA is supported by “friend of the court” briefs filed by a securities professor, former SEC officials, trade groups and think tanks. [read post]
13 Jun 2024, 11:04 am
SEC. 2. [read post]
13 Jun 2024, 7:42 am
He can be reached at Jeff@JeffNewmanLaw.com or at 617-823-3217 The post Crypto firmTerraform Labs agrees to pay $4.5 Billion to SEC one of the largest penalties of any SEC civil lawsuit appeared first on Jeff Newman Law. [read post]
