Search for: "Securities and Exchange Commission"
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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]
23 Jun 2009, 11:54 am
The Security and Exchange Commission is reconsidering a loophole in the regulatory system that has allowed firms to launch activist campaigns against unsuspecting companies by quietly amassing big positions in their stock. [read post]
20 Mar 2012, 5:18 am
The use of certain minerals, mined in strife-torn Africa and used in products like cellphones, is being debated before the Securities and Exchange Commission, Edward Wyatt writes in The New York Times. [read post]
1 May 2025, 10:00 pm
Partners Carolyn Welshhans and Kelly Gibson authored an article on Law360 about the US Securities and Exchange Commission’s (SEC’s) continued focus on cybersecurity and artificial intelligence (AI). [read post]
7 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently proposed a new rule and rule amendments that, if adopted as proposed, would require registered investment advisers to meet certain requirements when outsourcing certain services or functions. [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]
12 Jun 2009, 11:06 am
Circuit issued an interesting opinion today in Securities Exchange Commission v. [read post]
8 May 2009, 9:15 am
Michael Lauer, the founder of the hedge fund Lancer Management Group, was ordered by a judge on Friday to pay $62 million to investors after being found liable for fraud last fall in a case brought by the Securities and Exchange Commission. [read post]
29 Sep 2010, 10:03 am
Chamber of Commerce and the Business Roundtable filed suit against the Securities & Exchange Commission today, objecting to new proxy access rules for nominating corporate directors. [read post]
2 Dec 2010, 1:02 pm
Securities and Exchange Commission. [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]
20 Jan 2014, 7:00 am
This report is in response to section 108(a) of the JOBS Act, which provides that The Securities and Exchange Commission shall conduct a review... [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]
24 Mar 2011, 12:40 pm
Here is the abstract: The role of the Securities and Exchange Commission in the corporate governance process has shifted... [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]
13 Nov 2008, 5:47 pm
Pomfret, an enforcement attorney with the Securities and Exchange Commission in Boston who moonlights as an author and publisher of romance fiction (and erotica) for gay men through his company Romentics.... [read post]
4 Oct 2010, 1:36 pm
A Fifth Circuit Court of Appeals decision in the case of Securities Exchange Commission v. [read post]
23 Jul 2010, 4:13 am
The Securities and Exchange Commission said Thursday that it was issuing a six-month reprieve on a provision in the recent financial overhaul legislation, allowing issuers of asset-backed bonds to omit credit ratings from their offering documents, Bloomberg News reported. [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]
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]
