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22 Feb 2018, 1:54 pm
To assist the SEC in identifying securities violations, Dodd-Frank established “a new, robust whistleblower program designed to motivate people who know of securities law violations to tell the SEC. [read post]
1 Mar 2018, 4:30 pm
On February 26, the SEC published interpretive guidance to assist public companies in preparing disclosures about cybersecurity risks and incidents. [read post]
8 Apr 2022, 9:22 am
The Associations request that the SEC in each rulemaking consider what is an appropriate comment period length for that particular proposal relative to its complexity and the SEC’s overall rulemaking agenda. [read post]
8 Nov 2021, 6:42 am
By Lene Powell, J.D.Sharing insights honed by past leadership in the SEC Enforcement Division, prominent members of the SEC defense bar discussed the agency’s assertive enforcement under SEC Chair Gary Gensler and Enforcement Director Gurbir Grewal. [read post]
9 Jul 2014, 7:00 am
The Dodd-Frank Act required about 1,500 advisers to register with the SEC. [read post]
16 Aug 2023, 3:13 pm
Just as the SEC and its whistleblowers prefer. [read post]
22 Feb 2018, 4:01 am
The SEC has charged former cryptocurrency exchange BitFunder and its founder with fraud, alleging that BitFunder and founder Jon E. [read post]
20 Aug 2010, 8:00 am
The SEC maintained the district court’s judgment should be reversed. [read post]
3 Sep 2013, 6:23 am
Second, to what extent does the SEC impose penalties on individual defendants? [read post]
30 Jan 2012, 12:56 pm
never even get a SEC referral. [read post]
25 Sep 2024, 2:37 pm
” Further Reading: Fifth Circuit Ruling Underscores a Shortcoming of the SEC Whistleblower Program More SEC Whistleblower News The post 5th Circuit Rules that SEC Whistleblowers are Ineligible for Awards in Certain Bankruptcy Proceedings appeared first on Whistleblower Network News. [read post]
3 Jan 2020, 7:09 am
The only thing missing are formal SEC charges against GPB. [read post]
19 May 2022, 12:10 pm
SEC , that the SEC's in-house trial of Mr. [read post]
27 Sep 2017, 8:21 am
So as is the case with the SEC’s Regulatory Flex Agenda, Rulemaking Petitions submitted to the SEC and other initiatives, it’s wise not to expect too much too soon – if ever. [read post]
27 Sep 2017, 8:21 am
So as is the case with the SEC’s Regulatory Flex Agenda, Rulemaking Petitions submitted to the SEC and other initiatives, it’s wise not to expect too much too soon – if ever. [read post]
14 Jun 2012, 6:50 am
Earlier. the SEC advised that companies cannot use crowdfunding to raise funds from investors until the SEC issues these rules. [read post]
20 May 2013, 6:12 am
It is likely that the SEC will receive increased funding. [read post]
28 Jan 2011, 3:28 pm
The SEC instituted administrative proceedings against a Greenberg Traurig partner for engaging in improper professional conduct during an SEC examination. [read post]
30 Jan 2011, 9:45 am
The SEC instituted administrative proceedings against a Greenberg Traurig partner for engaging in improper professional conduct during an SEC examination. [read post]
30 Jan 2011, 5:51 am
The SEC instituted administrative proceedings against a Greenberg Traurig partner for engaging in improper professional conduct during an SEC examination. [read post]
