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]
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]
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]
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 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]
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]
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]
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]
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]
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]
10 Jun 2025, 6:06 am
The Securities and Exchange Commission announced today that it will immediately resume processing new and pending registration applications of investment advisers with their principal office and place of business in Switzerland. [read post]
10 Jan 2024, 9:05 pm
In a typical year, the Securities and Exchange Commission (SEC) brings a few dozen enforcement cases against individuals for insider trader. [read post]
2 Oct 2015, 6:10 am
Recently, the New York Stock Exchange LLC (“NYSE” or “Exchange”) filed a proposed rule change with the Securities and Exchange Commission to amend the NYSE Listed Company Manual (the “Manual”), effective September 28, 2015. [1] The proposed amendments (i) expand the pre-market hours during which companies with listed securities are required to notify the Exchange prior to disseminating material news,… [read post]
22 Apr 2009, 1:25 pm
Madoff, offers this view of the Securities and Exchange Commission's handling of the Madoff case. [read post]
12 Jun 2017, 3:17 pm
A former branch chief with the Securities and Exchange Commission, Twedt advises clients on SEC and stock exchange rules and procedures, corporate governance best practices, fund formation and related matters. [read post]
7 Oct 2021, 5:45 pm
In a news release, the company said it anticipates filing the delisting notification with the Securities and Exchange Commission on or about Oct. ... [read post]
17 Sep 2021, 11:41 am
The Securities and Exchange Commission’s (SEC) Chairman, Gary Gensler, recently directed the staff to present recommendations to "freshen up" and tighten some provisions in Exchange Act Rule 10b5-1. [read post]
30 Jun 2011, 9:24 am
The Securities and Exchange Commission is scrutinizing of the selling of real estate investment trusts that are private placements, that is, are not traded on an exchange, according to an Wall Street Journal article by Anton Troianovski and Craig Karmin entitled “Nontraded REITs Are Put on Notice by SEC. [read post]
16 Dec 2010, 6:25 pm
By Jonathan Halpern and Thomas Kokalas Under a rule proposed by the Securities and Exchange Commission, oil, gas and mining companies listed on U.S. stock exchanges would be required to disclose payments they made to foreign governments or the United States government in connection with a broad swath of activity, from exploration to oil processing. [...] [read post]
26 May 2009, 1:57 pm
Two Texas men defrauded investors of some $19.5 million by faking bank records to show that their business, Global One, achieved annual returns of more than 23 percent in foreign exchange trading, the Securities and Exchange Commission said Tuesday. [read post]
