Search for: "Securities and Exchange Commission"
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8 Nov 2011, 3:44 pm
The penalty is the largest ever assessed against a person in a Securities and Exchange Commission insider trading case. [read post]
6 Sep 2011, 5:44 pm
The court ruling dealt a stinging blow to the Securities and Exchange Commission and it has exposed the Dodd-Frank Act to multiple other challenges [read post]
13 Aug 2008, 11:02 pm
News release: "The Securities and Exchange Commission today announced that it has published for public comment an agreement [Release No.... [read post]
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. [read post]
7 Jun 2023, 9:01 pm
Securities and Exchange Commission. [read post]
9 Dec 2011, 6:47 pm
In Parts One and Two of this article we discussed the new Guidance issued by the Securities and Exchange Commission (SEC) Division of Corporation Finance that provides guidance to companies with regard to whether and how a company should disclose the impact of the risk and cost of cybersecurity incidents (both malicious and accidental) on a company. [read post]
7 Feb 2013, 11:27 am
Among other things, national authorities will be required to exchange information and best practices between themselves and the Commission within a new “cooperation network”, and circulate early warnings on security risks and incidents affecting network and information systems. [read post]
10 Aug 2007, 3:47 am
Campos, a member of the Securities and Exchange Commission who sparred with agency Republicans over how best to penalize companies for securities law violations, will depart in a month for the private sector, the commission said Thursday. [read post]
1 Nov 2024, 7:23 am
In 2020, the SEC (under Chairman Jay Clayton) proposed to eliminate a long-standing rule that exempts from the national securities exchange and ATS regulatory frameworks those platforms that facilitate trading in only Treasuries and other U.S. government securities (“government securities-only trading platforms”)—i.e., to subject those platforms to exchange/ATS regulation for the first time.[2] In early 2022, the… [read post]
6 Sep 2012, 5:41 am
Securities and Exchange Commission. [read post]
4 Mar 2010, 11:23 am
Today, the Securities and Exchange Commission (SEC) filed a securities fraud lawsuit against Sean David Morton of Manhattan Beach, California, alleging that Morton falsely claimed he would use his psychic expertise to provide investment guidance. [read post]
14 Oct 2023, 6:30 am
Securities and Exchange Commission. [read post]
14 Oct 2023, 6:30 am
Securities and Exchange Commission. [read post]
17 Aug 2022, 3:57 am
In a decision with significant implications for securities litigation and enforcement, the United States Court of Appeals for the Second Circuit recently rebuffed an attempt by the US Securities and Exchange Commission (SEC) to broaden the scope of “scheme liability” under Section 10(b) of the Securities Exchange Act of 1934 and Section 17(a) of the Securities Act of 1933. [read post]
20 May 2009, 11:48 am
The Securities and Exchange Commission proposed rules on Wednesday that would make it possible for a company's shareholders to elect a limited number of independent directors, commission officials said. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
23 Feb 2007, 9:08 am
The President's Working Group on Financial Markets (the heads of the Treasury, Federal Reserve, Securities and Exchange Commission and Commodity Futures Trading Commission) issued it report on whether to regulate hedge funds. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
8 Jun 2011, 8:31 am
Ervin, who has worked at the Commodity Futures Trading Commission and the Securities and Exchange Commission, will join the law firm's Washington office as a partner. [read post]
