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6 Nov 2022, 10:27 am
The SEC’s fact sheet about the new rules can be found here. [read post]
20 Feb 2013, 9:23 am
Both broker-dealers (B-Ds) and investment advisers (IAs) – financial services entities that are regulated differently (the SEC and FINRA regulate B-Ds; the SEC and state securities commissioners regulate IAs) — are known to include pre-dispute arbitration clauses in their customer agreements. [read post]
22 May 2013, 9:35 am
The language of Rule 206(4)-5 neither prohibits nor restricts investment advisors from contributing to federal candidates who presently hold no state or local office – only state "officials" from a "government entity" who have the power to directly or indirectly influence the outcome of the hiring of investment advisors (check out page 43 of the SEC’s link above if you don’t believe me). [read post]
25 Jul 2011, 1:55 am
Special thanks to the several loyal readers who sent me links about the Court’s opinion. [read post]
30 Sep 2018, 5:16 pm
Please contact me directly if you would like to submit a guest post. [read post]
4 Dec 2023, 12:40 pm
Surely there is value to an employer to learn that a fired (or departing) employee has not filed a claim with a government agency, but: what if other agencies take the same (SEC) position; and today, if the separation agreement expressly must state “You need not tell me if you have filed a complaint with the SEC that may result in your receiving money as a whistleblower”– sort of feels like a hint or an invitation,… [read post]
17 Jan 2023, 6:11 am
” — “Every law firm in the United States ought to be paying attention to the U.S. [read post]
19 Oct 2009, 4:48 am
As noted in the SEC's press release: Mr. [read post]
3 Jun 2010, 2:04 am
The examiner told me that because of budget cuts and furlough days, the division will not even have a chance to review the blue sky filing we submit for five months! [read post]
DOJ Elects Not to Investigate SEC's Former General Counsel For Conflict of Interest in Madoff Matter
7 Nov 2011, 8:30 am
Becker testified that he was "confident that the [Madoff] Trustee would never find it necessary to sue me. [read post]
26 Apr 2017, 2:38 pm
Sec. 2. [read post]
24 Oct 2017, 4:26 pm
” The Order states that the SEC “has information that tends to show that from at least January 1, 2011,” MusclePharm “possibly” violated sections of the federal securities laws. [read post]
24 Oct 2017, 4:26 pm
” The Order states that the SEC “has information that tends to show that from at least January 1, 2011,” MusclePharm “possibly” violated sections of the federal securities laws. [read post]
16 Jul 2019, 3:06 pm
Please contact me directly if you would like to submit a guest post. [read post]
9 Jul 2019, 8:50 am
(High Honor) from Michigan State University (College of Business). [read post]
15 Jul 2013, 3:29 pm
It is difficult for me to see how the creation and financing of more companies will be detrimental. [read post]
27 Jan 2010, 7:33 pm
Today the SEC voted 3-2 to approve an interpretive release offering guidance to companies on disclosure obligations as they relate to climate change. [read post]
14 Feb 2012, 4:58 am
The SEC states that FY 2010 was 10.99% and FY 2011 was 10.67%. [read post]
22 Nov 2008, 4:28 pm
It made me think there was a real possibility that the SEC might become a casualty of the credit crisis. [read post]
24 Jan 2017, 4:38 pm
Ever since the SEC released its cyber security disclosure guidelines in October 2011, commentators (including me) have been speculating whether the agency might try to nab a company whose disclosure practices the agency might use as sort of a test case on the guidelines’ requirements. [read post]
