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Sullivan & Cromwell Discusses SEC Rule Amendments to Regulation S-P
27 May 2024, 9:01 pm by renholding
On May 16, 2024, the Securities and Exchange Commission (“SEC”) significantly expanded its consumer information protection framework by adopting rule amendments (the “Final Amendments”) to Regulation S-P, which governs the protection of consumer financial information held by broker-dealers, investment companies, registered investment advisers and now transfer agents (“S-P entities”). [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
What to Expect in the Closings at the Trump Trial
27 May 2024, 5:45 am by Norman L. Eisen
The jury must determine not only that Trump had an intent to defraud, but also that this intent included an intent to commit another crime, or to aid or conceal the commission of another crime. [read post]
Just Security - https://www.justsecurity.org/
Budget Cuts as Alternative Congressional Oversight Enforcement Mechanism
24 May 2024, 5:51 am by Andy Wright
” The press release identifies the Food and Drug Administration, the Department of Agriculture, the Securities and Exchange Commission, the Department of Energy, the Environmental Protection Agency, and the Department of Defense as offending agencies. [read post]
Just Security - https://www.justsecurity.org/
No change or all change – Labour’s Proposals
24 May 2024, 3:43 am by Jonathan Herbst (UK)
There are of course political appointees at the Securities and Exchange Commission and other agencies, and we could be looking at a different landscape on areas such as ESG, consumer regulation and crypto to name a few examples. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
ESMA consults on second package of MiFIR Level 2 measures
23 May 2024, 9:23 am by Anna Carrier (BE) and Simon Lovegrove (UK)
EMA plans to submit the final draft RTS/ITS, covering the equities and bonds CTPs, to the European Commission by the end of December 2024. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
SEC Adopts Amendments to Regulation S-P
22 May 2024, 1:02 pm by Sarah Parker, Libbie Canter, Mike Nonaka, David Stein and Kerry Burke
Securities and Exchange Commission (“SEC”) adopted amendments to Regulation S-P, which implements the Gramm-Leach Bliley Act (“GLBA”) for SEC-regulated entities such as broker-dealers, investment companies, registered investment advisers, and transfer agents. [read post]
Inside Privacy - http://www.insideprivacy.com
SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange with Failing to Inform the Commission of a Cyber attack
22 May 2024, 8:30 am by jeffreynewmanadmin
The Securities and Exchange Commission today announced that The Intercontinental Exchange, Inc. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Preparing Now for the SEC’s New Climate Rules
22 May 2024, 6:32 am
Key Points Even though the Securities and Exchange Commission’s (SEC’s) climate-related disclosure rules are on hold while court challenges are heard, companies need to prepare for the possibility that some or all parts of the rules will come into effect. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Preparing Now for the SEC’s New Climate Rules
22 May 2024, 6:32 am
Key Points Even though the Securities and Exchange Commission’s (SEC’s) climate-related disclosure rules are on hold while court challenges are heard, companies need to prepare for the possibility that some or all parts of the rules will come into effect. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Kim Kardashian Prompts Major Questions for the SEC
21 May 2024, 9:05 pm by William McDonald
Securities and Exchange Commission (SEC) for endorsing cryptocurrency companies without disclosing that they had been paid for their support. [read post]
RegBlog - https://www.theregreview.org/
Ropes & Gray Discusses Labor Department’s Final Fiduciary Rule
21 May 2024, 9:01 pm by renholding
Recommendations The kinds of recommendations that are the subject of the Final Rule’s test track the three categories the DOL had included in its Proposal: Post-Rollover Investments – Recommendations as to the advisability of acquiring, holding, disposing of, or exchanging, securities or other investment property, as to investment strategy, or as to how securities or other investment property should be invested after the securities or other… [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
ESMA consults on first package of MiFIR Level 2 measures
21 May 2024, 9:18 am by Anna Carrier (BE)
Finally, ESMA also sets out its approach in relation to pre and post-trade transparency for exchange traded commodities (ETCs) and exchange traded notes (ETNs), proposing to move away from a periodic assessment of liquidity and introducing a static determination for ETCs and ETNs. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
US Supreme Court rejects former Guantanamo detainee’s request to appeal war crime convictions
20 May 2024, 7:58 pm by Sonja Rzepski | Vermont Law & Graduate School, US
The commission sentenced Khadr to 40 years in prison. [read post]
JURIST - Paper Chase - https://www.jurist.org/news/
Guest Post: Standardizing Early Case Appraisal in Securities Class Actions
20 May 2024, 6:26 am by Kevin LaCroix
After all, the legal framework of Section 10(b) of the Exchange Act and Section 11 of the Securities Act is over 90 years old. [read post]
The D & O Diary - http://www.dandodiary.com/
Bricolage: 习近平主席在十四届全国人大一次会议闭幕会上的重要讲话让海外华侨华人信心倍增 [President Xi Jinping’s important speech at the closing session of the 14th National People’s Congress has doubled the confidence of overseas Chinese] and 犹太利益集团势力庞大 美国无底线盲撑以色列 [The Jewish interest groups are powerful and the United States blindly supports Israel without any bottom line]
17 May 2024, 6:59 pm
Xi Jinping, General Secretary of the CPC Central Committee, President of the State, and Chairman of the Central Military Commission, delivered an important speech at the closing meeting. [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
New SEC requirements give institutions 30 days to disclose security incidents
17 May 2024, 12:27 pm by Dan Goodin
Enlarge (credit: Brendan Smialowski / Getty Images) The Securities and Exchange Commission (SEC) will require some financial institutions to disclose security breaches within 30 days of learning about them. [read post]
Law & Disorder - http://arstechnica.com/tech-policy/
Statement by Chair Gensler on Amendments to Regulation S-P
17 May 2024, 6:31 am
Securities and Exchange Commission. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Statement by Chair Gensler on Amendments to Regulation S-P
17 May 2024, 6:31 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Women Are at the Center of Ukraine’s Path to Justice and Recovery
17 May 2024, 6:05 am by Kateryna Busol
The Independent International Commission of Inquiry on Ukraine,  which the U.N. [read post]
Just Security - https://www.justsecurity.org/
News You Can Use Digest – May 17, 2024
17 May 2024, 3:00 am by Jim Sedor
Out of 75 Black women who have run or are running for the U.S Senate since 2010, 10 have secured major-party nominations. [read post]
Lobby Comply Blog - https://stateandfed.com/lobbycomply/feed