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5 Jun 2024, 9:01 pm
The National Credit Union Administration is expected to re-propose the same rule in the near future, and the Securities and Exchange Commission has included a rulemaking to implement Section 956 of Dodd-Frank on its rulemaking agenda. [read post]
5 Jun 2024, 3:38 pm
” FINRA, the regulator that oversees brokers and brokerage firms, and the Securities and Exchange Commission may impose regulatory actions against a broker-dealer such as censures, fines, suspensions and restitution, among others. [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, 8:31 am
Firstly, despite ransomware attacks and other cyber breaches against businesses continuing apace, most US-listed companies are unprepared for the Securities and Exchange Commission’s new rules on reporting their cyber readiness and any attacks they suffer, defense counsels told us. [read post]
5 Jun 2024, 5:42 am
These facts should neither be used to indict the entire system, nor render us cynical about it. [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]
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]
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]
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]
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]
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]
3 Jun 2024, 8:58 am
While restoring net neutrality was identified early on as a priority for the Biden Administration, it was not until the fall of 2023, with the confirmation of Anna Gomez, that the Administration was able to secure a Democratic majority at the Commission. [read post]
2 Jun 2024, 9:01 pm
As recent Commission orders make clear, all is not lost if you fail to self-police or self-report.[16] You should still do what you can to remediate the violations and work with us. [read post]
1 Jun 2024, 6:30 am
It has assumed outsized importance in the Securities and Exchange Commission’s (SEC’s) enforcement actions against entities that have made public offerings of unregistered securities. [read post]
1 Jun 2024, 6:30 am
It has assumed outsized importance in the Securities and Exchange Commission’s (SEC’s) enforcement actions against entities that have made public offerings of unregistered securities. [read post]
1 Jun 2024, 5:00 am
It doesn’t matter Israel prefers commissions to prosecutions. [read post]
31 May 2024, 12:31 pm
SEC final rule on reporting material cybersecurity incidents In July 2023, the US Securities and Exchange Commission (SEC) finalized its rule requiring public companies to disclose material cybersecurity incidents under Item 1.05 of Form 8-K. [read post]
31 May 2024, 11:27 am
” The SEC’s complaint charges Murray and Trillium with violating the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. [read post]
31 May 2024, 5:26 am
Securities and Exchange Commission Chair Gary Gensler said the change will make the U.S. financial markets more resilient. [read post]
30 May 2024, 3:22 pm
Enlarge (credit: Apu Gomes / Stringer | Getty Images News) After months of loudly protesting a subpoena, Elon Musk has once again agreed to testify in the US Securities and Exchange Commission's investigation into his acquisition of Twitter (now called X). [read post]
