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18 Sep 2008, 6:47 pm
From The Caucus: Senator John McCain said in Cedar Rapids, Iowa on Thursday that he believed that the chairman of the Securities and Exchange Commission should be fired and that the government should create a new trust to help troubled institutions remain solvent. [read post]
26 Aug 2020, 10:00 pm
The US Securities and Exchange Commission announced that it voted on August 26 to adopt amendments to Regulation S-K to modernize the description of business, legal proceedings, and risk factor disclosures that registrants are required to make. [read post]
21 Sep 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) recently adopted sweeping new rules under the Investment Advisers Act of 1940 (Advisers Act) that apply in certain circumstances to non-US advisers to private investment funds. [read post]
11 Jun 2007, 3:14 pm
Here is the biographical information from Usana’s most recent 14A filed with the Securities and Exchange Commission on March 13, 207: (more…) [read post]
23 Mar 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on March 9 proposed new rules to enhance and standardize disclosures relating to the risk management, strategy, governance, and incident reporting requirements of cybersecurity applicable to public companies (registrants). [read post]
15 Jul 2010, 4:12 pm
While Goldman Sachs's $550 million settlement with the Securities and Exchange Commission may seem impressive at first glance, it's a charge the firm can handle easily. [read post]
4 Feb 2011, 1:33 pm
The Securities and Exchange Commission announced today that Mark Cahn will be its next general counsel. [read post]
18 May 2020, 10:00 pm
Temporary relief provided by the US Securities and Exchange Commission focuses on financial statements and timing and cancellation requirements with regard to Regulation Crowdfunding, and is expected to make it easier and faster for small businesses to complete offerings. [read post]
15 Dec 2021, 10:00 pm
While the US Securities and Exchange Commission seeks to modernize electronic recordkeeping requirements in a technology-neutral manner, its proposed amendments are unclear as to the permissible use of the “cloud” or distributed ledger technology. [read post]
27 May 2010, 8:52 am
The once-prominent hedge fund, Pequot Capital Management, and its chief executive agreed to settle a Securities and Exchange Commission complaint accusing them of insider trading involving Microsoft shares. [read post]
14 Jul 2022, 10:00 pm
The US Securities and Exchange Commission on July 13 proposed amendments to the shareholder proposal rule, which governs the process for including or excluding a shareholder proposal in a company’s proxy statement. [read post]
18 May 2020, 10:00 pm
Temporary relief provided by the US Securities and Exchange Commission focuses on financial statements and timing and cancellation requirements with regard to Regulation Crowdfunding, and is expected to make it easier and faster for small businesses to complete offerings. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
11 Jan 2011, 8:56 am
It sounded like Sutton Resources was in big trouble with the Securities and Exchange Commission. [read post]
30 Mar 2012, 12:48 pm
Andrew Michaelson is leaving the Securities and Exchange Commission to join Boies, Schiller & Flexner, where he will work in the firm's litigation practice and specialize in white-collar criminal defense. [read post]
23 Mar 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) on March 9 proposed new rules to enhance and standardize disclosures relating to the risk management, strategy, governance, and incident reporting requirements of cybersecurity applicable to public companies (registrants). [read post]
30 Aug 2012, 9:37 am
After an overhaul stalled at the Securities and Exchange Commission, the Financial Stability Oversight Council could now use a part of Dodd-Frank, called Title VIII, that addresses regulation of the plumbing of the financial system. [read post]
11 Jul 2023, 10:00 pm
The Securities and Exchange Commission proposed changes to the Customer Protection Rule, which would impact about 63 carrying broker-dealers and potentially require more frequent deposits into customer and PAB reserve bank accounts. [read post]
25 Mar 2020, 9:00 pm
Read our recent LawFlash regarding the US Securities and Exchange Commission’s March 25 announcement of the extension of filing periods covered by previously enacted conditional reporting relief for certain public company filing obligations. [read post]
22 Nov 2020, 10:00 pm
The US Securities and Exchange Commission (SEC) announced that it voted on November 19, 2020 to adopt rules to modernize, simplify, and enhance certain financial disclosures required of public companies under Regulation S-K. [read post]
