Search for: "Securities and Exchange Commission"
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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]
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]
25 Aug 2022, 12:03 pm
The Securities and Exchange Commission today adopted amendments to its rules to require registrants to disclose information reflecting the relationship between executive compensation actually paid by a registrant and the registrant’s financial…Read the Full Press ReleaseHave a securities law question? [read post]
24 Oct 2023, 1:17 pm
The Securities and Exchange Commission today charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised. [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]
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]
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]
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 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]
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]
3 Sep 2015, 7:51 am
On September 2, the Municipal Securities Rulemaking Board (MSRB) requested approval from the Securities and Exchange Commission (SEC) for amendments to MSRB Rule G-20, a conflict-of-interest rule concerning gifts and gratuities. [read post]
4 Oct 2015, 6:34 am
On August 4, 2015, the Securities and Exchange Commission (“SEC”) issued an interpretive release to clarify its reading of the whistleblower rules it promulgated in 2011 under Section 21F of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). [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]
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 Sep 2008, 2:31 pm
., the insurance giant American International Group finally filed documents with the Securities and Exchange Commission setting forth the terms of its government loan and disclosing the interest that the government will have in it. [read post]
20 Dec 2017, 11:59 am
Securities and Exchange Commission (SEC) published its bold attempt to modernize the disclosure requirements for mining companies that are listed on U.S. stock exchanges or otherwise report to the SEC. [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]
11 Mar 2008, 10:49 am
As per new Securities and Exchange Commission rules, all private limited companies that have paid up capital over Taka.40 crore will have to be converted to public limited companies and must be listed on the stock exchange. [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]
