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Ropes & Gray Discusses Labor Department’s Final Fiduciary Rule
21 May 2024, 9:01 pm by renholding
Recommendations The kinds of recommendations that are the subject of the Final Rule’s test track the three categories the DOL had included in its Proposal: Post-Rollover Investments – Recommendations as to the advisability of acquiring, holding, disposing of, or exchanging, securities or other investment property, as to investment strategy, or as to how securities or other investment property should be invested after the securities or other… [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Chair Gensler Statement on Upcoming Implementation of T+1 Settlement Cycle
21 May 2024, 12:35 pm by Mark Astarita
Securities and Exchange Commission Chair Gary Gensler today issued the following statement on the conversion of the U.S. securities market to a T+1 standard settlement cycle, which will take place on May 28, 2024: “For everyday investors who sell their…Read the Full Press Release Have a securities law question? [read post]
Securities Law Blog - http://seclaw.blogspot.com/
ESMA consults on first package of MiFIR Level 2 measures
21 May 2024, 9:18 am by Anna Carrier (BE)
Finally, ESMA also sets out its approach in relation to pre and post-trade transparency for exchange traded commodities (ETCs) and exchange traded notes (ETNs), proposing to move away from a periodic assessment of liquidity and introducing a static determination for ETCs and ETNs. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Batista brothers are back; opposition to NYSE listing has not gone away
20 May 2024, 9:05 pm by Dan Flynn
The Ban the Batistas campaign is calling on the New York Stock Exchange (NYSE) and the Securities and Exchange Commission (SEC) to bar the Batista Brothers from U.S. markets in what it says would be “a decisive response to their ruthless onslaught on fair play. [read post]
Food Safety News - http://www.foodsafetynews.com/
US Supreme Court rejects former Guantanamo detainee’s request to appeal war crime convictions
20 May 2024, 7:58 pm by Sonja Rzepski | Vermont Law & Graduate School, US
The commission sentenced Khadr to 40 years in prison. [read post]
JURIST - Paper Chase - https://www.jurist.org/news/
SEC Issues Exemptive Order Providing Additional Time for Certain Registrants to File Quarterly Reports in Light of BF Borgers Permanent Suspension
20 May 2024, 3:55 pm by Mark Astarita
The Securities and Exchange Commission today provided exemptive relief to certain registrants affected by the permanent suspension of BF Borgers CPA PC and its owner, Benjamin F. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Guest Post: Standardizing Early Case Appraisal in Securities Class Actions
20 May 2024, 6:26 am by Kevin LaCroix
After all, the legal framework of Section 10(b) of the Exchange Act and Section 11 of the Securities Act is over 90 years old. [read post]
The D & O Diary - http://www.dandodiary.com/
Bricolage: 习近平主席在十四届全国人大一次会议闭幕会上的重要讲话让海外华侨华人信心倍增 [President Xi Jinping’s important speech at the closing session of the 14th National People’s Congress has doubled the confidence of overseas Chinese] and 犹太利益集团势力庞大 美国无底线盲撑以色列 [The Jewish interest groups are powerful and the United States blindly supports Israel without any bottom line]
17 May 2024, 6:59 pm
Xi Jinping, General Secretary of the CPC Central Committee, President of the State, and Chairman of the Central Military Commission, delivered an important speech at the closing meeting. [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
New SEC requirements give institutions 30 days to disclose security incidents
17 May 2024, 12:27 pm by Dan Goodin
Enlarge (credit: Brendan Smialowski / Getty Images) The Securities and Exchange Commission (SEC) will require some financial institutions to disclose security breaches within 30 days of learning about them. [read post]
Law & Disorder - http://arstechnica.com/tech-policy/
In a First, SEC Awards Whistleblower who Appealed Denial Before Court of Appeals
17 May 2024, 12:17 pm by Geoff Schweller
Securities and Exchange Commission (SEC) awarded a whistleblower after the whistleblower appealed a denial before the U.S. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
SEC Announces Departure of Policy Director Heather Slavkin Corzo and Appointment of Corey Klemmer to the Role
17 May 2024, 7:45 am by Mark Astarita
The Securities and Exchange Commission today announced that Policy Director Heather Slavkin Corzo will leave the agency. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Statement by Chair Gensler on Amendments to Regulation S-P
17 May 2024, 6:31 am
Securities and Exchange Commission. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Statement by Chair Gensler on Amendments to Regulation S-P
17 May 2024, 6:31 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Women Are at the Center of Ukraine’s Path to Justice and Recovery
17 May 2024, 6:05 am by Kateryna Busol
The Independent International Commission of Inquiry on Ukraine,  which the U.N. [read post]
Just Security - https://www.justsecurity.org/
News You Can Use Digest – May 17, 2024
17 May 2024, 3:00 am by Jim Sedor
Out of 75 Black women who have run or are running for the U.S Senate since 2010, 10 have secured major-party nominations. [read post]
Lobby Comply Blog - https://stateandfed.com/lobbycomply/feed
SEC Chair Gensler Speaks on Trends in Asset Management
16 May 2024, 9:01 pm by renholding
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
FINRA’s Guidelines on Artificial Intelligence (AI)
16 May 2024, 9:43 am by The White Law Group
  Recent enforcement actions by the Securities and Exchange Commission (SEC) against firms engaged in AI washing underscore the importance of transparency and accuracy in representing AI capabilities. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Tina Diamantopoulos Named Regional Director of Chicago Office
16 May 2024, 7:45 am by Mark Astarita
The Securities and Exchange Commission today announced that Tina Diamantopoulos has been named Director of the Chicago Regional Office, the Commission’s second-largest regional office. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information
16 May 2024, 5:35 am by Mark Astarita
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]
Securities Law Blog - http://seclaw.blogspot.com/
Examining High Concentration Among Derivatives Intermediaries
15 May 2024, 9:05 pm by ilyabeylin
  These include posting of margin (i.e., reliable collateral) to secure members’ obligations to the clearinghouse. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/