Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION"
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1 May 2024, 10:16 pm
FINRA, the self-regulator that oversees brokers and brokerage firms and the SEC (Securities and Exchange Commission) may impose sanctions such as censures, fines, suspensions and restitution, among others. [read post]
1 May 2024, 9:05 pm
Securities Law This more rule-based approach suggests that the EU regime is becoming more like the U.S. federal regime. [read post]
1 May 2024, 7:59 am
Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) and Internal Revenue Service (IRS). [read post]
30 Apr 2024, 12:31 pm
Securities and Exchange Commission. [read post]
30 Apr 2024, 6:08 am
Once the Federal Elections Commission sent him a letter, Pecker recalled telling Cohen that he was “very worried. [read post]
29 Apr 2024, 9:05 pm
The former head of the Securities Commission (CVM) referred to testimony that asserted JBS had bribed 1,829 politicians. [read post]
28 Apr 2024, 8:35 am
Securities and Exchange Commission (SEC) stating that it had interests in Cumulus exceeding the 5% threshold. [read post]
26 Apr 2024, 11:25 am
The FTC has yet to pursue a new claim against New Balance Jeffrey Newman is a whistleblower lawyer whose firm represents whistleblowers in healthcare fraud cases under the False Claims Act (FCA) and also under the Securities and Exchange, FINCEN and CFTC whistleblower programs. [read post]
26 Apr 2024, 7:00 am
He got a phone call about the imminent sale of a tech company and allegedly traded on the confidential information, according to charges filed by the Securities and Exchange Commission. [read post]
25 Apr 2024, 9:05 pm
Securities and Exchange Commission, 140 S. [read post]
25 Apr 2024, 9:01 pm
Securities and Exchange Commission (SEC) takes the position that the insider trading laws apply where an insider uses material non-public information about his or her own company to trade securities of another company, such as a competitor or peer company in the same industry. [read post]
25 Apr 2024, 11:36 am
Securities and Exchange Commission (SEC) Whistleblower Program, says Allison Herren Lee, former SEC Commissioner and currently Of Counsel at the whistleblower firm Kohn, Kohn & Colapinto. [read post]
25 Apr 2024, 6:00 am
In addition to potentially misleading consumers and harming investors, this can break U.S. securities law, according to Gary Gensler, chair of the Securities and Exchange Commission. [read post]
24 Apr 2024, 12:17 pm
Securities and Exchange Commission (SEC), which has a similar whistleblower rule, has cracked down on companies for muzzling whistleblowers through restrictive NDAs. [read post]
24 Apr 2024, 10:42 am
(U.S. [read post]
24 Apr 2024, 6:30 am
P., 601 U.S. ___, 2024 WL 1588706 (2024), that a violation of Securities and Exchange Commission Item 303—which requires public companies to disclose “known trends or uncertainties” that could impact their income— cannot, in the absence of an otherwise misleading statement, support a private lawsuit brought under SEC Rule 10b-5(b), a regulation that implements Section 10(b) of the Securities Exchange Act of 1934. [read post]
24 Apr 2024, 6:30 am
P., 601 U.S. ___, 2024 WL 1588706 (2024), that a violation of Securities and Exchange Commission Item 303—which requires public companies to disclose “known trends or uncertainties” that could impact their income— cannot, in the absence of an otherwise misleading statement, support a private lawsuit brought under SEC Rule 10b-5(b), a regulation that implements Section 10(b) of the Securities Exchange Act of 1934. [read post]
23 Apr 2024, 5:57 am
Systemic Measures Alongside Sanctions The U.S. [read post]
22 Apr 2024, 2:04 pm
Apr. 12, 2024) (“MIC”), the United States Supreme Court (Sotomayor, J.) held unanimously that “pure omissions” in a Securities and Exchange Commission (“SEC”) filing do not support liability under SEC Rule 10b-5(b). [read post]
22 Apr 2024, 1:11 pm
In connection with private equity-backed public offerings, the sponsoring firm and its principals and affiliated funds are routinely named as defendants in such lawsuits—both as primary actors under Section (10)(b) of the Securities and Exchange Act of 1934 and as controlling persons under Section 15 of the Securities Act of 1933 and Section 20(a) of the Exchange Act. [read post]
