Search for: "US Securities and Exchange Commission"
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28 Aug 2012, 2:07 pm
The Dodd-Frank Act directs the Securities and Exchange Commission to regulate the use of conflict minerals that came from Congo and other areas, forcing the agency to engage in foreign policy. [read post]
28 Aug 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) announced on August 25, 2022, that it has adopted new rules to require enhanced pay for performance disclosure that will apply to 2023 proxies for calendar year-end issuers. [read post]
26 Aug 2020, 10:00 pm
The US Securities and Exchange Commission announced that it voted on August 26 to adopt amendments to Regulation S-K to modernize the description of business, legal proceedings, and risk factor disclosures that registrants are required to make. [read post]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
26 Aug 2020, 10:00 pm
The US Securities and Exchange Commission announced that it voted on August 26 to adopt amendments to Regulation S-K to modernize the description of business, legal proceedings, and risk factor disclosures that registrants are required to make. [read post]
25 Mar 2020, 9:00 pm
Read our recent LawFlash regarding the US Securities and Exchange Commission’s March 25 announcement of the extension of filing periods covered by previously enacted conditional reporting relief for certain public company filing obligations. [read post]
29 Sep 2010, 10:31 am
A federal appeals court ruled against the Securities and Exchange Commission in its effort to get government wiretaps to use in its insider-trading case against against the founder of the Galleon Group. [read post]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
28 Aug 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) announced on August 25, 2022, that it has adopted new rules to require enhanced pay for performance disclosure that will apply to 2023 proxies for calendar year-end issuers. [read post]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
28 Aug 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) announced on August 25, 2022, that it has adopted new rules to require enhanced pay for performance disclosure that will apply to 2023 proxies for calendar year-end issuers. [read post]
13 Dec 2020, 10:00 pm
Financial markets and fund investment practices have changed substantially since the US Securities and Exchange Commission (SEC) last addressed fund valuation comprehensively 50 years ago. [read post]
14 Jul 2022, 10:00 pm
The US Securities and Exchange Commission on July 13 proposed amendments to the shareholder proposal rule, which governs the process for including or excluding a shareholder proposal in a company’s proxy statement. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
8 Dec 2020, 10:00 pm
A recent enforcement action (Proceeding) by the US Securities and Exchange Commission (SEC) against a state-chartered trust company (Trust Company) has attracted attention in the banking and asset management industries. [read post]
21 Dec 2021, 10:00 pm
The US Securities and Exchange Commission (SEC) recently proposed amendments (Amendments) to its rules governing money market funds. [read post]
23 Aug 2021, 10:00 pm
A recent US Securities and Exchange Commission (SEC) settled enforcement action that found that a hedge fund acted as an unregistered “dealer” has blurred the traditional line between dealers and traders. [read post]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
21 Dec 2021, 10:00 pm
The US Securities and Exchange Commission (SEC) recently proposed amendments (Amendments) to its rules governing money market funds. [read post]
