Search for: "U.S. Securities and Exchange Commission"
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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]
22 Apr 2024, 6:04 am
The rule requires national securities exchanges to submit an NMS plan to implement a consolidated audit trail. [read post]
21 Apr 2024, 9:05 pm
Starting in the 1930s with the earliest version of its proxy rules, the Securities and Exchange Commission gradually increased the proportion of instructed votes on a shareholder’s proxy card until, for the first time in 2022, it required a fully-instructed proxy card — the universal proxy. [read post]
20 Apr 2024, 9:05 pm
It regulates one critical part of the U.S. securities industry—brokerage firms doing business with the public. [read post]
19 Apr 2024, 2:45 pm
The Securities and Exchange Commission is the primary securities regulator in the U.S. [read post]
19 Apr 2024, 9:27 am
The Securities and Exchange Commission (“SEC”) approved 11 spot Bitcoin exchange-traded funds (“ETFs”) on January 10, 2024, marking a historic moment in the crypto industry. [read post]
19 Apr 2024, 1:46 am
However, there are a few exceptions to BOIR filing: Publicly traded companies: Companies already registered with the Securities and Exchange Commission (SEC) are exempt from filing a BOIR because ownership information is already publicly available. [read post]
18 Apr 2024, 9:01 pm
Or, it may discuss security risks or competitive risks from AI. [read post]
18 Apr 2024, 11:15 am
In 2020, the Securities and Exchange Commission accused Acharya of fraud, claiming he bilked 250 unwitting investors, many of them of South Asian heritage, out of about $119 million that they invested in projects by Acharya and Silicon Sage Builders. [read post]
18 Apr 2024, 7:37 am
Securities and Exchange Commission (“SEC”) announced they had settled charges against 5 registered investment advisers for violations of the SEC’s Marketing Rule. [read post]
18 Apr 2024, 6:32 am
The 2024 proxy season is in full swing, as public companies are in the process of submitting their proxy statements (DEF14A) to the Securities and Exchange Commission (SEC) ahead of annual shareholder meetings. [read post]
