Search for: "U. S. Securities and Exchange Commission"
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27 Mar 2019, 6:39 am
On February 19, 2019, the Securities and Exchange Commission (SEC) approved a proposed rule that, if enacted, would permit all issuers to use “test-the-waters” communications (TTW communications). [read post]
10 Jul 2007, 6:22 pm
The Securities and Exchange Commission has published a 121-page proposal for dropping the requirement that non-U.S. companies reconcile to the generally accepted accounting principles (GAAP) as required by U.S. firms in financial reports. [read post]
3 Mar 2017, 6:19 am
Securities and Exchange Commission, on Friday, March 3, 2017 Editor's Note: Kara M. [read post]
24 Feb 2020, 1:01 pm
Securities and Exchange Commission. [read post]
12 Jan 2024, 7:42 am
Grayscale led the fight at the Securities and Exchange Commission (“SEC”) for approval of spot bitcoin-exchange traded funds (“ETFs”). [read post]
7 Nov 2016, 6:31 am
On October 18, the Division of Corporation Finance (the “Staff”) of the Securities and Exchange Commission (the “Commission”) released five Compliance and Disclosure Interpretations (“C&DIs”) addressing new Item 402(u) of Regulation S-K regarding CEO pay ratio disclosure. [read post]
26 Jun 2020, 6:01 am
Securities and Exchange Commission. [read post]
4 Nov 2021, 10:04 am
Department of Justice (DOJ) has also received a bounty of $2M from the Securities and Exchange Commission (SEC). [read post]
21 Jul 2017, 12:59 pm
SEC enforcement proceedings (disgorgement): Statute of limitations:The Securities and Exchange Commission (SEC or Commission) possesses authority to investigate violations of federal securities laws and to commence enforcement actions in federal district court if its investigations uncover evidence of wrongdoing. [read post]
13 Dec 2017, 11:45 am
On December 5, 2017 the Securities and Exchange Commission (“SEC”) awarded more than $4.1 million to a whistleblower for alerting the SEC to a multi-year securities fraud engaged in by his employer. [read post]
2 Jul 2018, 11:28 am
The ICO was not registered with the Securities and Exchange Commission (“SEC”). [read post]
23 Feb 2018, 12:00 am
Sarbanes-Oxley applies to all "employees" who report misconduct to the Securities and Exchange Commission [SEC], any other federal agency, Congress, or an internal supervisor [see 18 U. [read post]
7 Mar 2022, 10:33 am
The Securities and Exchange Commission also has a whistleblower program to report securities fraud and the whistleblower is entitled to substantial rewards if their information aids the Commission in a prosecution or investigation.The tool was announced in the January 2021 Communication on fostering the openness, strength and resilience of the European economic and financial system. [read post]
4 Jan 2017, 1:02 am
Securities and Exchange Commission (SEC) in SEC v. [read post]
14 Feb 2022, 1:50 pm
The Securities and Exchange Commission today charged BlockFi Lending LLC (BlockFi) with failing to register the offers and sales of its retail crypto lending product. [read post]
14 Mar 2022, 2:20 pm
Security and Exchange Commission regulations. [read post]
20 Aug 2010, 12:30 pm
As we discussed in our post of June 16, the Ontario Securities Commission, Quebec's Autorité des marchés financiers and the U.S. [read post]
24 Dec 2021, 6:26 am
Securities and Exchange Commission (SEC) recently awarded approximately $36 million to a whistleblower who was culpable in the wrongful conduct and delayed reporting information to the agency for five years. [read post]
10 Jun 2011, 8:38 am
The Securities and Exchange Commission’s warning urged investors to be careful in transactions with reverse merger companies due to “instances of fraud and other abuses” that have resulted in investor losses. [read post]
26 Aug 2021, 4:42 pm
The Department of the Treasury, the Securities and Exchange Commission (SEC), and the Federal Reserve have each announced new steps: The Treasury’s announcement coversa range of issues including public spending, macroeconomic effects, and international cooperation. [read post]
