Search for: "Application of Securities and Exchange Commission"
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17 Apr 2014, 6:13 pm
Publicly Released: Apr 17, 2014: “Although the Securities and Exchange Commission (SEC) had implemented and made progress in strengthening information security controls, weaknesses limited their effectiveness in protecting the confidentiality, integrity, and availability of a key financial system. [read post]
26 Aug 2022, 1:04 pm
Securities and Exchange Commission (SEC) announced two rule changes to further refine and incentivize whistleblowing through their highly successful whistleblower program. [read post]
21 Feb 2010, 9:10 am
On February 9, 2010, the Securities and Exchange Commission filed a complaint against two individuals for violations of the Securties Exchange Act of 1934 alleging that: From approximately January 2005 until March 2007, the Defendants spearheaded a sophisticated scheme to defraud the banks and their depositors by secretly using relatives as nominees to acquire stock in those conversions in contravention of the offering terms and applicable banking… [read post]
9 Jan 2018, 6:22 am
On November 1 2017, the Securities and Exchange Commission (“SEC”) released guidance (Staff Legal Bulletin No. 14I (“SLB 14I”)) clarifying the scope and application of the ordinary business and economic relevance grounds for excluding a shareholder proposal under Rule 14a-8 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) from a company’s proxy statement. [1] On November… [read post]
17 Apr 2012, 2:42 pm
Under Exchange Act Section 12(i), banks do not register their securities or file reports with the Commission. [read post]
4 Aug 2016, 1:42 pm
Today, the Municipal Securities Rulemaking Board (MSRB) filed an amendment with the Securities and Exchange Commission (SEC) clarifying the two-year look-back ban on contributions from municipal advisors in the upcoming amendments to MSRB Rule G-37. [read post]
6 Sep 2011, 6:00 am
Public companies and companies registering to go public should be aware of recent fee rate adjustments made by the Securities and Exchange Commission. [read post]
21 Jun 2015, 6:00 am
Securities and Exchange Commission. [read post]
12 Jan 2024, 7:42 am
Grayscale led the fight at the Securities and Exchange Commission (“SEC”) for approval of spot bitcoin-exchange traded funds (“ETFs”). [read post]
18 Dec 2023, 8:53 am
Commission Implementing Regulation laying down ITS for the application of the AIFMD with regard to the form and content of the information to be notified in respect of the cross-border activities of alternative investment fund managers and the exchange of information between Member State competent authorities on cross-border notification letters together with annexes. [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
5 Apr 2011, 9:37 am
While most EU Members have voluntary corporate governance codes, the Commission has evidence of shortcomings in the application of these codes when reporting on the comply or explain basis. [read post]
22 Aug 2024, 9:05 pm
Dec. 22, 2020) and Securities and Exchange Commission v. [read post]
2 May 2013, 6:41 am
Securities and Exchange Commission. [read post]
19 Nov 2014, 6:54 am
In a rare move of true consumer protection, the Securities and Exchange Commission (SEC) denied applications by fund managers BlackRock Inc. and Precidian Investments to offer nontransparent exchange-traded funds (ETFs) to investors by stating that such products were not in the public’s interest. [read post]
28 Jan 2010, 9:22 am
Nothing that the Commission does today should be construed as weighing in on those topics. [read post]
7 Apr 2022, 9:01 pm
Securities and Exchange Commission. [read post]
25 Aug 2008, 7:14 pm
According to an SEC Press Release, by the end of this year, the Securities and Exchange Commission hopes to migrate its information on public companies and mutual funds from the EDGAR system to an entirely new database called IDEA. [read post]
23 Nov 2011, 8:17 am
Securities and Exchange Commission announced the approval of additional listing criteria for companies that become public through a reverse merger. [read post]
21 Dec 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on December 14, 2022, finalized amendments to Rule 10b5-1 that will both amend the Rule 10b5-1(c)(1) affirmative defense to insider trading liability and create new disclosure requirements applicable to insiders’ use of Rule 10b5-1 plans and companies’ insider trading policies. [read post]
