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25 Mar 2020, 9:00 pm
Our colleagues have prepared a LawFlash addressing the US Securities and Exchange Commission’s March 25 extension of certain filing periods and current views regarding disclosure considerations due to the coronavirus (COVID-19) crisis. [read post]
25 Nov 2011, 7:10 am
Katharine Gresham, a former assistant general counsel the Securities and Exchange Commission, takes a look at one of Bernard L. [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]
13 Dec 2020, 10:00 pm
Financial markets and fund investment practices have changed substantially since the US Securities and Exchange Commission (SEC) last addressed fund valuation comprehensively 50 years ago. [read post]
15 Aug 2011, 11:49 am
Even if the Securities and Exchange Commission finds that information Standard & Poor's downgrade of the United States' debt was improperly disclosed, proving insider trading will be very difficult. [read post]
22 Jan 2015, 4:27 pm
Securities and Exchange Commission on Monday resolved its... [read post]
1 Oct 2010, 5:13 am
The Securities and Exchange Commission brought what very well could be be the first insider-trading lawsuit against a pair of trainmen, both employed by Florida East Coast Industries when it was taken over by Fortress Investment Group in 2007. [read post]
1 Nov 2010, 4:22 pm
The Securities and Exchange Commission is investigating whether JPMorgan Chase adequately disclosed to investors that a hedge fund had a role in selecting the pieces of a 2007 collateralized debt obligation, ProPublica reports. [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]
13 Dec 2020, 10:00 pm
Financial markets and fund investment practices have changed substantially since the US Securities and Exchange Commission (SEC) last addressed fund valuation comprehensively 50 years ago. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
30 Jun 2010, 11:31 am
The Securities and Exchange Commission voted to bar investment managers who make contributions to officials with influence over public pension funds from managing those funds for two years. [read post]
13 May 2011, 5:12 pm
The Securities and Exchange Commission said a former enforcement official was the subject of a federal criminal investigation for doing legal work for R. [read post]
8 Feb 2010, 9:17 pm
Since 1990, the Securities and Exchange Commission has possessed the authority to order respondents to cease-and-desist from present or future violations. [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]
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]
23 Apr 2007, 9:41 pm
The Securities Exchange Commission issued a release today stating that an order had been entered that permanently bars Scrushy from serving as an officer or director of a public company, permanently enjoins Scrushy from committing future violations of the antifraud... [read post]
16 Apr 2010, 11:36 am
Shares of Goldman Sachs fell as much as 15 percent on Friday, pulling down other financial stocks, after the Securities and Exchange Commission filed civil fraud charges against the firm, but is the market overreacting? [read post]
16 Jun 2022, 8:53 am
The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Best Interest Obligation regulations (commonly referred to as Regulation Best Interest or Reg BI) when they recommended and sold unrated, high-risk debt security known as… [read post]
1 Dec 2010, 5:51 am
Going Easy: The Securities and Exchange Commission showed leniency toward Bank of America in penalizing the firm for securities law violations last year because the financially weakened bank was on taxpayer-backed life support, the Washington Post reports. [read post]
