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6 Jun 2024, 10:00 pm
In a unanimous decision published on June 5, 2024, the US Court of Appeals for the Fifth Circuit vacated the entire set of regulations, including amendments to existing rules (collectively, the Rules), adopted by the US Securities and Exchange Commission (SEC) in August 2023. [read post]
6 Jun 2024, 10:00 pm
In a unanimous decision published on June 5, 2024, the US Court of Appeals for the Fifth Circuit vacated the entire set of regulations, including amendments to existing rules (collectively, the Rules), adopted by the US Securities and Exchange Commission (SEC) in August 2023. [read post]
6 Jun 2024, 10:00 pm
In a unanimous decision published on June 5, 2024, the US Court of Appeals for the Fifth Circuit vacated the entire set of regulations, including amendments to existing rules (collectively, the Rules), adopted by the US Securities and Exchange Commission (SEC) in August 2023. [read post]
6 Jun 2024, 9:05 pm
The proposal would also cut the SEC’s enforcement funds by $144.3 million. [read post]
6 Jun 2024, 2:03 pm
ShareThe Relist Watch column examines cert petitions that the Supreme Court has “relisted” for its upcoming conference. [read post]
6 Jun 2024, 9:31 am
This means that it costs you nothing to hire us, and we collect our fees only if you receive an SEC bounty. [read post]
6 Jun 2024, 5:50 am
[Reuters] * Fifth Circuit decides that when Dodd Frank told the SEC to regulate private funds it really meant... don't do that. [read post]
6 Jun 2024, 3:30 am
The funny thing is that if Future Me went back in time to meet with Teenage Me as I was about to embark on my pursuit of higher education, and Future Me told Teenage Me that I would spend almost of all of my professional career working at the SEC, interacting with the SEC and writing and speaking about the SEC’s every move as it relates to the regulation of public disclosure, my reaction would have likely been: “What is the SEC? [read post]
6 Jun 2024, 3:25 am
The event will also be publicly webcast and include panel discussions featuring former SEC chairs and experts on the history of the SEC. [read post]
5 Jun 2024, 3:38 pm
The SEC alleges that the “Ponzi-like scheme” continued for more than four years because GPB was able to hide the funds’ financial condition from investors, neglecting to deliver audited financial information. [read post]
5 Jun 2024, 1:45 pm
The following is a review of FINRA and the SEC’s regulatory actions involving Crown Capital Securities. [read post]
5 Jun 2024, 10:52 am
As a registered broker-dealer, David Lerner Associates falls under the regulatory purview of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). [read post]
5 Jun 2024, 9:58 am
More broadly, the DOJ and Securities and Exchange Commission (SEC) have jurisdiction over foreign companies if they issue stock for American Depositary Receipts (ADRs). [read post]
5 Jun 2024, 9:37 am
I assume the SEC will appeal the decision to the Supreme Court. [read post]
5 Jun 2024, 9:36 am
The Securities and Exchange Commission has commenced its biennial collection of Diversity Self-Assessment Submissions from Regulated Entities. [read post]
5 Jun 2024, 8:31 am
Nearly three quarters of the defense counsels we spoke to thought AI will trigger more litigation in the year ahead, particularly following SEC Chair Gary Gensler’s warnings to companies to not ‘AI wash’. [read post]
5 Jun 2024, 3:30 am
The SEC’s press release states: The SLRO has long been the SEC’s smallest regional office and recently has experienced significant attrition. [read post]
5 Jun 2024, 3:25 am
In the meantime, the status quo at the SEC and CFTC will prevail when it comes to digital assets regulation. [read post]
5 Jun 2024, 3:23 am
I am particularly looking forward to participating in a number of the panels that make up the two days of conferences, which will include: – “Erik Gerding: The Latest From Corp Fin” on October 14th – “The SEC All-Stars: Proxy Season Insights” on October 14th – “Game Show Lightning Round: All-Star Feud” on October 14th – “Climate Disclosures: Your New Action Items” on October 14th – “The SEC… [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
