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10 Jun 2024, 9:20 pm
Last week, the WSJ reported that paragraph (c) of Item 1.05 of Form 8-K has been invoked “several times” since the SEC’s new cybersecurity disclosure rules went into effect in December. [read post]
10 Jun 2024, 9:10 pm
As Dave noted, the SEC’s rulemaking strategy can also be significantly impacted by changing administrations, but that doesn’t necessarily mean that we’ll see a slowing down or pausing in rulemaking activity. [read post]
10 Jun 2024, 9:01 pm
It remains to be seen whether the SEC will petition for a rehearing by the Fifth Circuit or appeal to the U.S. [read post]
10 Jun 2024, 12:00 pm
§ 75-l- 201(6)(a)(ii) implicates Plaintiffs’ right to dignity under Article II, Sec. 4 of the Montana Constitution. [read post]
10 Jun 2024, 8:34 am
Read the full US Regulatory Intelligence article, SEC Strikes out on “Private Fund Advisers Rule. [read post]
10 Jun 2024, 7:12 am
The SEC’s complaint, filed in the federal district court in Manhattan, alleges that Structured Alpha’s Lead Portfolio Manager, Gregoire P. [read post]
10 Jun 2024, 6:23 am
Hazen, 1 LAW SEC. [read post]
10 Jun 2024, 3:10 am
Disability:IN has also supported the inclusion of individuals with disabilities around the SEC’s rulemakings on board and workforce disclosures for publicly traded companies. [read post]
10 Jun 2024, 3:10 am
Disability:IN has also supported the inclusion of individuals with disabilities around the SEC’s rulemakings on board and workforce disclosures for publicly traded companies. [read post]
9 Jun 2024, 9:00 pm
If you’ve perused the agenda for our Proxy Disclosure and Executive Compensation Conferences, you may have noticed that we’re planning a fun lightning-round game show with some SEC All-Stars — hosted by our own Dave Lynn! [read post]
9 Jun 2024, 11:26 am
Nat’l Sec. [read post]
9 Jun 2024, 8:27 am
From left to right: Yera Patel of Inigo, who moderated the panel; Boris Feldman of the Freshfields law firm; Stephanie Avakian, former head of the SEC Enforcement Division, now of Wilmer Hale; Jim Harrod of the Bernstein Litowitz law firm; me; and Tom Ielapi of Inigo. [read post]
9 Jun 2024, 6:30 am
This client alert discusses the key critiques of the SEC’s approach, important developments in the litigation, and highlights from the motion to dismiss hearing. [read post]
9 Jun 2024, 6:30 am
This client alert discusses the key critiques of the SEC’s approach, important developments in the litigation, and highlights from the motion to dismiss hearing. [read post]
7 Jun 2024, 1:18 pm
SEC Bars Three Brokers in Horizon Ponzi Scheme Today the US Securities and Exchange Commission (SEC) announced it has settled charges with three former financial advisors who were involved with an alleged Ponzi scheme in Georgia. [read post]
7 Jun 2024, 10:50 am
The SEC appreciates the assistance of the U.S. [read post]
7 Jun 2024, 9:30 am
The Securities and Exchange Commission today charged three individuals with fraud for selling unregistered membership interests in LLCs that purported to invest in shares of pre-IPO companies, first on behalf of StraightPath Venture Partners LLC, the…Read the Full Press Release Have a securities law question? [read post]
7 Jun 2024, 8:05 am
Lee, KPMG, on Friday, May 31, 2024 Tags: Board of Directors, Climate, Cybersecurity, GenAI, Globalization, SEC The Original Public Meaning of Investment Contract Posted by Edward Lee (Santa Clara Law), on Saturday, June 1, 2024 Tags: Bitcoin, Cryptocurrency, digital assets, SEC Reporting cybersecurity incidents on Form 8-K Posted by Cydney Posner, Cooley LLP, on Sunday, June 2, 2024 Tags: Cybersecurity, Disclosure, Form 8-K, SEC Cybersecurity Amendments to Reg… [read post]
7 Jun 2024, 8:05 am
Lee, KPMG, on Friday, May 31, 2024 Tags: Board of Directors, Climate, Cybersecurity, GenAI, Globalization, SEC The Original Public Meaning of Investment Contract Posted by Edward Lee (Santa Clara Law), on Saturday, June 1, 2024 Tags: Bitcoin, Cryptocurrency, digital assets, SEC Reporting cybersecurity incidents on Form 8-K Posted by Cydney Posner, Cooley LLP, on Sunday, June 2, 2024 Tags: Cybersecurity, Disclosure, Form 8-K, SEC Cybersecurity Amendments to Reg… [read post]
7 Jun 2024, 3:30 am
While we do not cover developments with SEC fund rules that often here on TheCorporateCounsel.net, litigation over the SEC’s rules is on everyone’s mind these days, so the fate of the SEC’s controversial private funds rules in the courts is no doubt of interest. [read post]
