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4 Apr 2024, 6:02 am
In response, they passed the Securities Act of 1933, the Securities Exchange Act of 1934, and established the Securities and Exchange Commission, he noted.The need for the SEC to promote these public goods is evergreen, but technology and business models “are everchanging,” Gensler said. [read post]
3 Apr 2024, 9:03 pm
Let me start by reminding you that my views are my own as a Commissioner and not necessarily those of the Securities and Exchange Commission (“SEC”) or my fellow Commissioners. [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
3 Apr 2024, 12:28 pm
This proposal stipulates that freelancers may only be subjected to noncompete agreements if they receive compensation in exchange. [read post]
2 Apr 2024, 1:03 pm
Securities and Exchange Commission (“SEC”) has pursued investigations of insider trading involving over sixty parties. [read post]
1 Apr 2024, 3:12 pm
The Securities Exchange Commission filed a parallel action for related conduct on the same day the CFTC initiated its enforcement action, but resolved its claims against Empire Consulting in 2023. [read post]
1 Apr 2024, 6:44 am
The U.S. [read post]
1 Apr 2024, 6:30 am
Summary On March 6, 2024, the Securities and Exchange Commission (“SEC”) in a 3-to-2 vote[1] adopted its landmark climate-related disclosure rules (the “Final Rules”), which will significantly expand the climate-related information that U.S. public companies and foreign private issuers (other than Canadian issuers reporting on Form 40-F) will be required to disclose in their periodic reports and registration statements.[2] Our March 7, 2024… [read post]
1 Apr 2024, 6:30 am
Summary On March 6, 2024, the Securities and Exchange Commission (“SEC”) in a 3-to-2 vote[1] adopted its landmark climate-related disclosure rules (the “Final Rules”), which will significantly expand the climate-related information that U.S. public companies and foreign private issuers (other than Canadian issuers reporting on Form 40-F) will be required to disclose in their periodic reports and registration statements.[2] Our March 7, 2024… [read post]
29 Mar 2024, 6:30 am
Securities and Exchange Commission, on Saturday, March 23, 2024 Tags: Climate, cyber disclosure, SEC, SPACs, U.S. [read post]
29 Mar 2024, 6:30 am
Securities and Exchange Commission, on Saturday, March 23, 2024 Tags: Climate, cyber disclosure, SEC, SPACs, U.S. [read post]
29 Mar 2024, 4:00 am
Kari Lake, the Republican U.S. [read post]
28 Mar 2024, 9:05 pm
The primary areas of focus for the new whistleblower program will include (i) criminal abuses of the U.S. financial system; (ii) foreign corruption cases outside the jurisdiction of the Securities and Exchange Commission; and (iii) domestic corruption cases, especially involving illegal corporate payments to government officials. [read post]
28 Mar 2024, 9:01 pm
Treasury Department, issued a Notice of Proposed Rulemaking (“Proposed Rule”) that would extend certain anti-money laundering program requirements to: investment advisers registered (“RIAs”) with the Securities and Exchange Commission (“SEC”); and investment advisers that report to the SEC as exempt reporting advisers (“ERAs”). [read post]
27 Mar 2024, 5:25 pm
Securities and Exchange Commission (SEC) is pursuing enforcement based on a novel theory of “shadow insider trading. [read post]
27 Mar 2024, 1:28 pm
Securities and Exchange Commission is actively probing technology and telecom companies on how they responded to the SolarWinds cyber attack in 2020, according to Bloomberg. [read post]
26 Mar 2024, 9:50 pm
” The complaint alleges that the defendants violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [read post]
26 Mar 2024, 2:48 pm
On the same day as the SEC’s press release, the U.S. [read post]
26 Mar 2024, 8:11 am
The Securities and Exchange Commission has issued insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of Silicon Valley-based technology company Arista Networks, Inc. [read post]
25 Mar 2024, 4:05 pm
Whistleblower attorneys from the law firm Kohn, Kohn & Colapinto (KKC) are urging the Department of Justice (DOJ) to model the whistleblower program it is developing on the hugely successful Dodd-Frank Act whistleblower programs administered by the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
