Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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23 Jul 2024, 6:00 am
Securities and Exchange Commission’s case against SolarWinds Corporation and its Chief Information Security Officer. [read post]
31 Jan 2023, 10:14 am
On January 30, 2023, the United States Securities and Exchange Commission (“SEC”) published a Risk Alert including its observations from Broker-Dealer Examinations Related to Regulation Best Interest (“Reg BI”). [read post]
14 Dec 2017, 10:12 am
The European Commission has adopted Implementing Decisions on the equivalence of the legal and supervisory frameworks in the following three countries, in accordance with Article 25(4)(a) of MiFID II: Commission Implementing Decision of XXX on the equivalence of the legal and supervisory framework in Australia applicable to financial markets in accordance with MiFID II; Commission Implementing Decision of XXX on the equivalence of the legal and supervisory framework… [read post]
22 Apr 2015, 8:19 am
Proposals before the United States Congress could, if passed, offer targeted liability protection to companies that participate in approved exchanges. [read post]
9 Jun 2009, 9:32 pm
The Massachusetts Securities Division and the Securities and Exchange Commission had accused Evergreen and one of its affiliates of inflating the value of its Ultra Short Opportunities Fund by up to 17%. [read post]
29 Sep 2011, 5:23 am
The charges result from Hovan's alleged fraudulent use of "soft dollars" and his subsequent obstruction of an investigation being conducted by the Securities and Exchange Commission (SEC). [read post]
29 Sep 2011, 5:23 am
The charges result from Hovan's alleged fraudulent use of "soft dollars" and his subsequent obstruction of an investigation being conducted by the Securities and Exchange Commission (SEC). [read post]
3 May 2022, 6:32 am
Each of the individual amici is a sophisticated businessperson and investor who has publicly litigated against the United States Securities and Exchange Commission (“SEC”). [read post]
3 May 2022, 6:32 am
Each of the individual amici is a sophisticated businessperson and investor who has publicly litigated against the United States Securities and Exchange Commission (“SEC”). [read post]
6 Apr 2012, 8:57 am
Securities and Exchange Commission has won an emergency court order freezing the assets of six Chinese citizens accused of insider trading in a China-based pork producer whose shares trade in the United States, the agency announced Friday. [read post]
20 Sep 2018, 6:02 am
SEC Takes Down Ponzi-Like Operation Involving 230 InvestorsThe SEC (Securities Exchange Commission) announced today that it has obtained a court order to shut down a major investment operation worth approximately $345 million. [read post]
27 Oct 2015, 5:00 am
Securities and Exchange Commission Chair Mary Jo White spoke at a meeting of the Managed Funds Association and pointed out areas of concern. [read post]
31 Oct 2020, 7:03 am
On August 26, 2020, the United States Securities and Exchange Commission (SEC) adopted final amendments under Regulation S-K as part of a Disclosure Effectiveness Initiative to modernize and improve corporate disclosures which will become effective on November 9, 2020. [read post]
27 Aug 2024, 9:01 pm
SDNY Judge Holds SEC Failed to Adequately Plead Risk Disclosure and Controls Claims in SolarWinds On July 18, 2024, the United States District Court for the Southern District of New York issued an opinion in Securities and Exchange Commission v. [read post]
13 Jul 2016, 10:12 am
In April 2015, the Commission proposed rules that, among other things, addressed the application of Regulation SBSR to security-based swap activity of non-U.S. persons within the United States. [read post]
18 Mar 2024, 6:00 am
The United States generally regulates privacy through four main approaches: sector-specific laws, use case-specific laws, laws applicable to certain types of data (data-specific laws), and comprehensive privacy laws (at the state level). [read post]
3 Feb 2017, 12:36 pm
On January 25, 2017, the Securities and Exchange Commission (“SEC”) filed a complaint in the United States District Court for the District of Massachusetts against Michael J. [read post]
3 Feb 2017, 12:36 pm
On January 25, 2017, the Securities and Exchange Commission (“SEC”) filed a complaint in the United States District Court for the District of Massachusetts against Michael J. [read post]
18 Jul 2009, 5:00 am
Two United States Securities and Exchange Commission (“SEC”) employees are currently under investigation for suspected insider trading and other SEC regulatory violations. [read post]
3 Apr 2020, 8:21 am
Unfortunately, in a very short sighted move by the United States Securities and Exchange Commission, its Chairman Jay Clayton announced that the SEC would not extend the compliance date for Regulation BI and the use of Form CRS passed the deadline of June 30, 2020. [read post]