Search for: "In Re Securities and Exchange Commission"
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19 Nov 2021, 4:02 pm
The US Securities and Exchange Commission has established a task force to target misleading ESG claims and has indicated that it is working to establish a comprehensive ESG disclosure framework. [read post]
18 Nov 2021, 9:03 pm
Securities and Exchange Commission (SEC) finalized a universal proxy rule, which allows investors who vote by proxy, rather than in-person, to vote for different combinations of directors who are competing against each other. [read post]
16 Nov 2021, 6:08 am
Its shares are not listed and do not trade on a registered national securities exchange. [read post]
16 Nov 2021, 3:00 am
Last week, Securities and Exchange Commission Chair Gary Gensler, made a speech at the Institutional Limited Partners Association Summit. [read post]
15 Nov 2021, 10:39 am
Securities and Exchange Commission (SEC) Chair Gensler at the Institutional Limited Partners Association Summit and an SEC Division of Examinations (EXAMS) Risk Alert published on the same day highlight the ongoing focus of the SEC on advisory fees, both in the institutional and retail spaces. [read post]
15 Nov 2021, 10:39 am
Securities and Exchange Commission (SEC) Chair Gensler at the Institutional Limited Partners Association Summit and an SEC Division of Examinations (EXAMS) Risk Alert published on the same day highlight the ongoing focus of the SEC on advisory fees, both in the institutional and retail spaces. [read post]
15 Nov 2021, 8:16 am
Parking REIT Exec Charged with Fraud As we previously reported, the Securities and Exchange Commission on July 30, charged an executive of the Parking REIT, and his wholly owned investment advisory firm, Vestin Mortgage LLC with fraud. [read post]
11 Nov 2021, 9:03 pm
Securities and Exchange Commission approved the Public Company Accounting Oversight Board’s Rule 6100. [read post]
11 Nov 2021, 6:10 am
Securities and Exchange Commission. [read post]
9 Nov 2021, 1:44 pm
In practice, entities engaged in these activities could face significant implications if those activities potentially involve the export, re-export or transfer of cybersecurity items. [read post]
9 Nov 2021, 8:33 am
On December 22, 2020, the Securities and Exchange Commission adopted the new Marketing Rule (amended Rule 206(4)-1) under the Investment Advisers Act that will replace both the current advertising and cash solicitation rules and will govern investment adviser marketing. [read post]
9 Nov 2021, 8:33 am
On December 22, 2020, the Securities and Exchange Commission adopted the new Marketing Rule (amended Rule 206(4)-1) under the Investment Advisers Act that will replace both the current advertising and cash solicitation rules and will govern investment adviser marketing. [read post]
8 Nov 2021, 4:08 am
You want to pay these fees in exchange for advice. [read post]
2 Nov 2021, 6:18 am
Securities & Exchange Commission and the International Financial Reporting Standards Foundation, a uniform global sustainability reporting framework seems unlikely to emerge in the near-term. [read post]
1 Nov 2021, 3:20 am
The United Kingdom has enacted the Model Law of the United Nations Commission on International Trade Law. [read post]
29 Oct 2021, 5:45 am
Securities and Exchange Commission stated that SSNs, bank account information, usernames, and passwords may have been exfiltrated during the ransomware attack. [read post]
29 Oct 2021, 5:45 am
Securities and Exchange Commission stated that SSNs, bank account information, usernames, and passwords may have been exfiltrated during the ransomware attack. [read post]
29 Oct 2021, 4:00 am
Circuit Court of Appeals said it will not re-examine a decision that overturned many of Alaska’s most important limits on campaign contributions. [read post]
28 Oct 2021, 2:01 am
This week on Arbiters of Truth, our series on the online information ecosystem, we’re talking about a subject that doesn’t come up much on the Lawfare Podcast: the Securities and Exchange Commission. [read post]
27 Oct 2021, 6:29 am
Is it impossibility or whatever has been made clear for the “bargained for exchange? [read post]
