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Letsou on Politics, Securities Regulation, and the Supreme Court

12 Mar 2024, 12:25 pm by Lawrence Solum

Here is the abstract: The United States Supreme Court has taken varied approaches in cases arising under the federal securities laws, in some periods interpreting those laws broadly to expand the powers of the Securities and Exchange Commission and investors to obtain remedies against alleged violators while, in other periods, either interpreting those laws restrictively to limit the availability of relief or adopting a more even-handed approach. [read post]

Legal Theory Blog - https://lsolum.typepad.com/legaltheory/

The Department Of Justice Adds Its Own Whistleblower Program

12 Mar 2024, 8:04 am by Silver Law Group

The US Department of Justice is planning to launch its own whistleblower program using the same model as the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). [read post]

SEC Whistleblower Lawyer Blog - http://www.secwhistleblowerlawyers.net/

Reconnecting Regulators to the Regulated

11 Mar 2024, 9:05 pm by Gianna Hill

Securities and Exchange Commission (SEC) responded to technical issues related to the gamification of trading by requiring increased disclosure obligations for broker-dealers, but only after amateur investors suffered losses. [read post]

RegBlog - https://www.theregreview.org/

How to Reestablish the Authority of Corporate Law in the Shareholder Proposal Process

11 Mar 2024, 9:01 pm by renholding

The SEC’s Overreach The U.S. [read post]

The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/

A New Whistleblower Program Announced by the Department of Justice

11 Mar 2024, 8:37 am by Courtney Finerty-Stelzner

Now the Department plans to expand its use of that authority to fill gaps in the whistleblower programs operated by other agencies — including the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Internal Revenue Service, and the Treasury Department’s Financial Crimes Enforcement Network. [read post]

Whistleblower News - http://getnicklaw.com/category/whistleblower-news/

Deputy Attorney General Monaco Announces New DOJ Whistleblower Program

8 Mar 2024, 1:37 pm by Elissa Baur, John Adams, Brandon M. Santos, Casey Erin Lucier and Rebecca Watson

Securities and Exchange Commission (SEC), Commodity Futures Trading Commission, IRS and FinCEN — Monaco explained they are only “a patchwork quilt that doesn’t cover the whole bed” of corporate and financial misconduct. [read post]

Subject to Inquiry - http://www.subjecttoinquiry.com/

The SEC fines multiple financial firms for failing to preserve text communications.

8 Mar 2024, 11:31 am by Greco & Greco, P.C.

The Securities and Exchange Commission (SEC) recently announced significant penalties against sixteen firms for widespread recordkeeping failures, amounting to over $81 million in combined fines. [read post]

Securities Fraud Blog - https://www.grecogrecolaw.com/blog/

Weekly Roundup: March 1-7, 2024

8 Mar 2024, 6:30 am

Securities and Exchange Commission, on Thursday, March 7, 2024 Tags: carbon emissions, Climate Risk Disclosure, disclosure requirements, Mandatory Disclosure, Regulation S-K, SEC [read post]

Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu

Weekly Roundup: March 1-7, 2024

8 Mar 2024, 6:30 am

Securities and Exchange Commission, on Thursday, March 7, 2024 Tags: carbon emissions, Climate Risk Disclosure, disclosure requirements, Mandatory Disclosure, Regulation S-K, SEC [read post]

The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/

The SEC’s Climate Disclosure Update: A Compromise Amidst Global Scrutiny

8 Mar 2024, 5:13 am by Rob Robinson

Securities and Exchange Commission’s (SEC) update stands out, albeit with mixed reception. [read post]

ComplexDiscovery - https://complexdiscovery.com/

News You Can Use Digest – March 8, 2024

8 Mar 2024, 3:00 am by Jim Sedor

Authorities say the couple accepted bribes of cash, gold bars, and a luxury car in exchange for the senator’s influence over foreign affairs. [read post]

Lobby Comply Blog - https://stateandfed.com/lobbycomply/feed

Week in Review

7 Mar 2024, 9:05 pm by Sri Medicherla

Securities and Exchange Commission (SEC) approved a final rule requiring certain public companies to report their greenhouse gas emissions and climate risks. [read post]

RegBlog - https://www.theregreview.org/

DOJ to Launch Whistleblower Award Program

7 Mar 2024, 3:20 pm by Geoff Schweller

Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC),” said Stephen M. [read post]

Whistleblower Protection Blog - http://www.whistleblowersblog.org/

Statement by Chair Gensler on Final Rules Regarding Mandatory Climate Risk Disclosures

7 Mar 2024, 6:32 am

Securities and Exchange Commission. [read post]

Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu

Statement by Chair Gensler on Final Rules Regarding Mandatory Climate Risk Disclosures

7 Mar 2024, 6:32 am

Securities and Exchange Commission. [read post]