Search for: "Securities and Exchange Commission"
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16 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed amendments to Rule 10b5-1 that would mandate additional disclosure and establish new requirements relating to insider trading. [read post]
2 Feb 2023, 7:18 am
The Securities and Exchange Commission today published a staff report that provides a summary of the staff’s examinations of nationally recognized statistical rating organizations (NRSROs) and discusses the state of competition, transparency, and…Read the Full Press ReleaseHave a securities law question? [read post]
16 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed amendments to Rule 10b5-1 that would mandate additional disclosure and establish new requirements relating to insider trading. [read post]
23 May 2022, 6:15 am
The Securities and Exchange Commission today charged BNY Mellon Investment Adviser, Inc. for misstatements and omissions about Environmental, Social, and Governance (ESG) considerations in making investment decisions for certain mutual funds that it…Read the Full Press ReleaseHave a securities law question? [read post]
9 Sep 2022, 6:05 am
The Securities and Exchange Commission today announced charges against a number of investment advisers that failed to comply with requirements relating to safekeeping client assets and/or to timely update their SEC disclosures to reflect the status of…Read the Full Press ReleaseHave a securities law question? [read post]
27 Sep 2022, 1:01 pm
The Securities and Exchange Commission today announced charges against 15 broker-dealers and one affiliated investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. [read post]
26 Jul 2023, 8:42 am
The Securities and Exchange Commission today adopted rules requiring registrants to disclose material cybersecurity incidents they experience and to disclose on an annual basis material information regarding their cybersecurity risk management, strategy…Read the Full Press Release Have a securities law question? [read post]
16 May 2024, 5:35 am
The Securities and Exchange Commission today announced the adoption of amendments to Regulation S-P to modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal information by certain financial institutions. [read post]
15 Jun 2022, 2:31 pm
The Securities and Exchange Commission today announced that it is requesting information and public comment on matters related to the activities of certain “information providers,” including whether, under particular facts and circumstances, information…Read the Full Press ReleaseHave a securities law question? [read post]
25 May 2022, 11:55 am
The Securities and Exchange Commission today proposed amendments to rules and reporting forms to promote consistent, comparable, and reliable information for investors concerning funds’ and advisers’ incorporation of environmental, social, and governance…Read the Full Press ReleaseHave a securities law question? [read post]
30 Mar 2022, 9:48 am
The Securities and Exchange Commission today proposed new rules and amendments to enhance disclosure and investor protection in initial public offerings by special purpose acquisition companies (SPACs) and in business combination transactions involving…Read the Full Press ReleaseHave a securities law question? [read post]
3 Sep 2024, 1:45 pm
The Securities and Exchange Commission today announced charges against six nationally recognized statistical rating organizations, or NRSROs, for significant failures by the firms and their personnel to maintain and preserve electronic communications. [read post]
9 Sep 2024, 12:06 pm
The Securities and Exchange Commission today announced settled charges against nine registered investment advisers for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fact or…Read the Full Press Release Have a securities law question? [read post]
16 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed amendments to Rule 10b5-1 that would mandate additional disclosure and establish new requirements relating to insider trading. [read post]
3 Jun 2022, 9:35 am
The Securities and Exchange Commission today announced that it adopted amendments to require certain forms that currently are permitted to be filed or submitted in paper format to be filed or submitted electronically. [read post]
15 Mar 2023, 10:45 am
The Securities and Exchange Commission today reopened the comment period on proposed rules and amendments related to cybersecurity risk management and cybersecurity-related disclosure for registered investment advisers, registered investment companies,…Read the Full Press ReleaseHave a securities law question? [read post]
19 Jan 2023, 8:03 am
The Securities and Exchange Commission today announced three awards totaling approximately $18 million to three whistleblowers whose information and assistance led to a successful enforcement action. [read post]
16 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed amendments to Rule 10b5-1 that would mandate additional disclosure and establish new requirements relating to insider trading. [read post]
16 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed amendments to Rule 10b5-1 that would mandate additional disclosure and establish new requirements relating to insider trading. [read post]
12 Dec 2022, 11:32 am
The Securities and Exchange Commission today announced an award of more than $20 million to a whistleblower who provided information and assistance that significantly contributed to a successful enforcement action. [read post]
