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26 Jul 2024, 6:25 am
The SEC appreciates the assistance of the U.S. [read post]
26 Jul 2024, 5:06 am
The Securities and Exchange Commission today announced charges against activist short seller Andrew Left and his firm, Citron Capital LLC, for engaging in a $20 million multi-year scheme to defraud followers by publishing false and misleading statements…Read the Full Press Release Have a securities law question? [read post]
26 Jul 2024, 3:10 am
Morgan Sec. [read post]
26 Jul 2024, 3:00 am
That page shows, for example, that the SEC updated & expanded its website resources for potential whistleblowers on July 2 — including Information About Submitting a Whistleblower Tip and these FAQs. [read post]
25 Jul 2024, 3:01 pm
Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
25 Jul 2024, 10:45 am
The SEC’s complaint…Read the Full Press Release Have a securities law question? [read post]
25 Jul 2024, 9:43 am
He also represents whistleblowers in major claims under the SEC, CFTC and FINCEN whistleblower programs and can be reached at Jeff@JeffNewmanLaw.com or at 617-823-3217 The post Florida Telecommunications and Information Technology Worker Charged with Acting as Agent of People’s Republic of China Government appeared first on Jeff Newman Law. [read post]
25 Jul 2024, 6:31 am
In a working paper, we explore how prior employment affiliations of examiners in the Securities and Exchange Commission’s (SEC) filing review program affect the strictness of their oversight. [read post]
25 Jul 2024, 6:31 am
In a working paper, we explore how prior employment affiliations of examiners in the Securities and Exchange Commission’s (SEC) filing review program affect the strictness of their oversight. [read post]
25 Jul 2024, 5:31 am
Is this ruling limited to the SEC, since it only changed practice in 2010? [read post]
24 Jul 2024, 9:01 pm
The SEC invites comments here, but also issued an order granting accelerated approval of the proposed listing rule changes, as amended. [read post]
24 Jul 2024, 2:19 pm
It also comes in the wake of reporting that anonymous OpenAI whistleblowers had filed a complaint against the company with the Securities and Exchange Commission (SEC). [read post]
24 Jul 2024, 1:07 pm
He also represents whistleblowers in major claims under the SEC, CFTC and FINCEN whistleblower programs and can be reached at Jeff@JeffNewmanLaw.com or at 617-823-3217 The post SEC issues Allarity Therapuetics With Wells Notice, Flags Alleged Violations in FDA Meeting appeared first on Jeff Newman Law. [read post]
24 Jul 2024, 6:32 am
This comprehensive study, which analyzed 401 companies that filed independent clawback policy disclosures within the past 12 months (for period ended May 7, 2024), reveals a significant trend: a majority of these companies are not only meeting but exceeding the SEC’s requirements. [read post]
24 Jul 2024, 6:32 am
This comprehensive study, which analyzed 401 companies that filed independent clawback policy disclosures within the past 12 months (for period ended May 7, 2024), reveals a significant trend: a majority of these companies are not only meeting but exceeding the SEC’s requirements. [read post]
24 Jul 2024, 6:27 am
Fifty years ago today, the Supreme Court issued its landmark ruling in United States v. [read post]
24 Jul 2024, 3:29 am
Assisted by GAI and LLM Technologies Additional Reading Coinbase Battles SEC Over Access to Gary Gensler’s Private Communications Evolve Bank Cyberattack Exposes Sensitive Data, Impacts Fintech Partners Wise and Affirm Source: ComplexDiscovery OÜ The post FTC Launches Probe into Surveillance Pricing Practices Targeting Eight Major Firms appeared first on ComplexDiscovery. [read post]
24 Jul 2024, 2:30 am
– Determine if the CrowdStrike update has had or is expected to have a material impact on the company, then consider if it should be discussed in the management’s discussion and analysis (MD&A) section of SEC filings, including as a known trend for future periods. [read post]
24 Jul 2024, 2:00 am
” Responses will be hidden, so you’ll have to join day 1 of our Conferences (in San Francisco or virtually) to hear whether your response made the “most popular” list — and whether our “SEC All-Stars” guess your response! [read post]
24 Jul 2024, 12:00 am
The SEC, the FBI, and the Financial Industry Regulatory Authority (FINRA), along with state authorities investigate white-collar crime. [read post]
