Search for: "SEC"
Results 161 - 180
of 60,811
Sort by Relevance
|
Sort by Date
10 Sep 2024, 3:15 am
Jarkesy did not directly address, however, other kinds of enforcement actions the SEC historically adjudicates in-house, including proceedings under Rule 102(e) of the SEC Rules of Practice, which is the SEC’s primary tool for regulating the professionals appearing before it. [read post]
9 Sep 2024, 9:01 pm
The SEC now must bring such a suit in federal court. [read post]
9 Sep 2024, 1:27 pm
Malecki Law also has extensive experience with intra-industry disputes including defamation claims, compensation claims, and the request to expunge registered representatives’ Form U5 due to defamatory language made publicly available by financial firms, as well as regulatory defense matters such as FINRA 8210 requests, SEC subpoenas, and investigations Ms. [read post]
9 Sep 2024, 12:06 pm
The Securities and Exchange Commission today announced settled charges against nine registered investment advisers for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fact or…Read the Full Press Release Have a securities law question? [read post]
9 Sep 2024, 11:53 am
Jeff Newman JD MBA, represents whistleblowers nationwide relating to Medicare and Medicaid fraud, under the state and federal False Claims Act (Qui Tam) laws as well as whistleblowers in major claims under the SEC, CFTC and FINCEN whistleblower programs. [read post]
9 Sep 2024, 9:25 am
The Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation this week released new educational resources for small business owners that explore the anatomy of income statements and balance sheets. [read post]
9 Sep 2024, 8:59 am
Arguably, the SEC could charge an airline with violating the rule if it cancels a whistleblower's flight to meet with the SEC. [read post]
9 Sep 2024, 8:45 am
The Securities and Exchange Commission today approved the Public Company Accounting Oversight Board’s (PCAOB) new quality control (QC) standard and related amendments to its standards, rules, and forms. [read post]
9 Sep 2024, 6:10 am
The Securities and Exchange Commission today announced settled charges against seven public companies for using employment, separation, and other agreements that violated rules prohibiting actions to impede whistleblowers from reporting potential…Read the Full Press Release Have a securities law question? [read post]
9 Sep 2024, 3:30 am
As Dave noted last week, the SEC continues to pay attention to “AI washing” by public companies. [read post]
9 Sep 2024, 3:15 am
As we emerge from “AI summer” – and take stock of the heightened interest of the SEC and the plaintiffs’ bar in corporate AI disclosures – it’s a good time to revisit the Board’s role in overseeing the unique risks that companies may face in this brave new world of artificial intelligence (and the regulations that will apply to its use). [read post]
8 Sep 2024, 11:40 am
Of note, the SEC has stayed its GHG reporting and California’s nationwide GHG reporting is being legislatively delayed. [read post]
8 Sep 2024, 9:54 am
The legislation the government is implementing is here (Title III secs 51-64). [read post]
7 Sep 2024, 8:08 pm
Supreme Court’s recent reversal of an SEC imposed fine which the Court found violated the Seventh Amendment’s right to a jury trial. [read post]
6 Sep 2024, 11:02 am
Jeff Newman JD MBA, represents whistleblowers nationwide relating to Medicare and Medicaid fraud, under the state and federal False Claims Act (Qui Tam) laws as well as whistleblowers in major claims under the SEC, CFTC and FINCEN whistleblower programs. [read post]
6 Sep 2024, 9:43 am
But his recent — and not-so-recent — conduct seems to contradict both halves of that formulation,… Continue reading The post “Sec of State LaRose says it’s easy to vote in Ohio, but critics say he’s making it more difficult” appeared first on Election Law Blog. [read post]
6 Sep 2024, 8:00 am
The Securities and Exchange Commission today announced settled charges against Esmark Inc. and its founder, chairman, and former CEO, James P. [read post]
6 Sep 2024, 6:30 am
Smith, Fenwick & West LLP, on Sunday, September 1, 2024 Tags: APA, Climate, Loper Bright, SEC Will A Bump-Up Exclusion Bar Coverage of an M&A Settlement? [read post]
6 Sep 2024, 6:30 am
Smith, Fenwick & West LLP, on Sunday, September 1, 2024 Tags: APA, Climate, Loper Bright, SEC Will A Bump-Up Exclusion Bar Coverage of an M&A Settlement? [read post]
6 Sep 2024, 3:25 am
Be sure to check out our “SEC Comment Process & Analysis” Practice Area and our “Non-GAAP Measures” Practice Area for the latest insights. [read post]
