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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]
20 Dec 2022, 9:59 am
The Securities and Exchange Commission today charged Nader Pourhassan, the former CEO of CytoDyn Inc., with fraud and insider trading in connection with providing misleading information to shareholders about the progress of a clinical research treatment…Read the Full Press ReleaseHave a securities law question? [read post]
11 Sep 2023, 1:18 pm
The Securities and Exchange Commission today announced charges against nine registered investment advisers for advertising hypothetical performance to the general public on their websites without adopting and/or implementing policies and procedures…Read the Full Press Release Have a securities law question? [read post]
14 Aug 2024, 1:20 pm
The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to…Read the Full Press Release Have 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]
16 Jul 2010, 11:35 am
The Securities & Exchange Commission today announced changes to the Division of Corporate Finance, creating three new specialized offices focusing on large financial institutions, asset-backed securities and other structured products, and securities offering trends. [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]
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]
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 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]
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]
28 Nov 2022, 8:06 am
The Securities and Exchange Commission today announced an award of $20 million to a whistleblower who provided new and critical information that led to the success of an enforcement action. [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]
2 May 2022, 1:06 pm
As part of its continuing efforts to educate regulated entities on the benefits and importance of sharing self-assessments of their diversity policies and practices, the Securities and Exchange Commission (SEC) published a Diversity Assessment Report…Read the Full Press ReleaseHave a securities law question? [read post]
23 Jun 2022, 2:05 pm
The Securities and Exchange Commission today adopted amendments to require certain documents filed by investment advisers, institutional investment managers, and certain other entities to be filed or submitted electronically. [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]
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]
31 Oct 2022, 6:55 am
The Securities and Exchange Commission today announced an award of more than $10 million to a whistleblower who provided information and assistance that significantly contributed to a successful SEC 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]
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]
