Search for: "In Re Securities and Exchange Commission"
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17 Mar 2021, 10:46 am
Securities and Exchange Commission (the “SEC”) Allison Herren Lee announced that the SEC would be seeking the public’s comments on climate-related disclosure, as the agency continues to consider the broader spectrum of environmental, social, and governance (“ESG”) disclosure issues.[2] For many companies, an ESG policy is a roadmap for responsible corporate decision making and respecting the planet and its people. [read post]
15 Mar 2021, 3:00 am
We have an important speech to consider on the future of enforcement at the Securities and Exchange Commission. [read post]
9 Mar 2021, 9:42 am
We’re long on things that don’t work. [read post]
9 Mar 2021, 3:03 am
We’re excited to offer a format that can be either “live & interactive” or “on-demand” (your choice! [read post]
8 Mar 2021, 4:46 pm
We're long on things that don't work. [read post]
8 Mar 2021, 6:33 am
The Securities and Exchange Commission (SEC) alleges that GPB Capital Holdings violated whistleblower protection laws by retaliating against a whistleblower and preventing people from going to the SEC with information. [read post]
4 Mar 2021, 9:30 am
“If a fintech company uses a white-label bank to process their business, they’re basically a bank. [read post]
4 Mar 2021, 8:24 am
On March 3, 2021, the Securities and Exchange Commission’s Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and Examinations (OCIE) released its 2021 examination priorities. [read post]
26 Feb 2021, 6:00 am
Securities and Exchange Commission, on Wednesday, February 24, 2021 Tags: Capital formation, Cryptocurrency, Financial technology, GameStop, Investor protection, Robinhood, Securities enforcement, Securities regulation, Short sales More than 1,200 Empirical Studies Apply the Entrenchment Index of Bebchuk, Cohen and Ferrell (2009) Posted by Leeor Ofer (Harvard Law School), on Wednesday, February… [read post]
25 Feb 2021, 9:03 pm
Securities and Exchange Commission to establish a diversity advisory group that would submit annual reports about the state of corporate diversity to the U.S. [read post]
25 Feb 2021, 6:00 am
On February 9, 2021, the United States Securities and Exchange Commission refused to let a former investment adviser re-register, claiming that the barred adviser had not demonstrated “extraordinary circumstances” to merit re-entry . [read post]
24 Feb 2021, 7:42 am
It’s not legally binding on Securities and Exchange Commission. [read post]
18 Feb 2021, 9:05 pm
FLASHBACK FRIDAY In an essay in The Regulatory Review, Elizabeth Golberg, former director at the European Commission, argued that the European Commission’s “one [read post]
16 Feb 2021, 2:23 pm
San Mateo Sept. 1, 2020), In re Uber Tech. [read post]
11 Feb 2021, 9:03 pm
Securities and Exchange Commission (SEC) Allison Herren Lee authorized senior members of the agency’s enforcement division to issue Formal Orders of Investigation, which enable members of the division to take sworn testimony and issue subpoenas. [read post]
8 Feb 2021, 6:36 am
The Securities And Exchange Commission recently published an investor alert discussing stock information on social media. [read post]
4 Feb 2021, 8:30 pm
The move is likely to rankle Republicans who, in some cases, have refused to cooperate with security screenings put in place in the wake of the siege of January 6. [read post]
4 Feb 2021, 12:30 pm
These debt securities were re-named “L Bonds” in January 2015, according to a June 3, 2020 prospectus. [read post]
4 Feb 2021, 8:34 am
On February 4, 2020, the Securities and Exchange Commission dropped the hammer on GPB, its funds, its owners. [read post]
3 Feb 2021, 5:31 am
Both parties gave up rights to the other’s compensation in exchange for keeping their own. [read post]
