Search for: "Securities and Exchange Commission"
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21 Dec 2021, 10:00 pm
The US Securities and Exchange Commission (SEC) recently proposed amendments (Amendments) to its rules governing money market funds. [read post]
28 Aug 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) announced on August 25, 2022, that it has adopted new rules to require enhanced pay for performance disclosure that will apply to 2023 proxies for calendar year-end issuers. [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]
11 Sep 2011, 6:29 pm
Reuters is reporting that a top attorney at the Securities and Exchange Commission halted the enforcement division’s destruction of investigative records. [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]
24 Mar 2010, 4:09 am
It seems that the Securities and Exchange Commission may have an even bigger pornography problem than expected. [read post]
8 Feb 2010, 1:04 pm
A federal judge put a Securities and Exchange Commission lawyer on the defensive on Monday afternoon over a settlement resolving civil charges that accused Bank of America of misleading investors when it acquired Merrill Lynch. [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]
24 Mar 2010, 10:25 am
Henning of White Collar Watch examines how the Securities and Exchange Commission provided another example of its mishandling of investigations in a case involving Allied Capital and the hedge fund manager David Einhorn. [read post]
25 Aug 2010, 4:13 am
3Par said Tuesday in a filing to the Securities and Exchange Commission that it was holding talks with Hewlett-Packard over the technology giant's $1.6 billion bid for the data-storage company, which is also the acquisition target of Dell. [read post]
21 Nov 2022, 10:00 pm
The US Securities and Exchange Commission recently released its enforcement statistics for fiscal year 2022. [read post]
26 Oct 2011, 10:12 am
Large hedge funds, which use extensive borrowing to magnify their returns, will be required to report detailed information on their holdings to federal regulators under a new rule adopted by the Securities and Exchange Commission. [read post]
5 Sep 2012, 9:00 am
The Securities and Exchange Commission has proposed rules to lift advertising restrictions for hedge funds, but the way this looks on paper and the way it will play out in the real world are a tad different. [read post]
15 Dec 2010, 9:22 am
Lawyers for Dallas Mavericks owner Mark Cuban continue to press their case that the Securities and Exchange Commission should accept thousands of dollars in private money to help expedite a public records request that the agency said it cannot begin... [read post]
11 Oct 2021, 9:01 am
Securities and Exchange Commission (SEC) and provided internal Facebook documents to Congress and to the press. [read post]
21 Dec 2021, 10:00 pm
The US Securities and Exchange Commission (SEC) recently proposed amendments (Amendments) to its rules governing money market funds. [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]
29 Jun 2010, 3:41 am
In the last two years there have been nine filings from Russian or Ukrainian companies given the go-ahead by the Securities and Exchange Commission, despite the firms themselves lacking even the rudiments of a business set-up. [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]
31 Aug 2010, 8:01 am
Two senior lawyers at the Securities & Exchange Commission are headed to law firms, while an agency veteran is returning from the private sector to serve as a deputy director in the Division of Trading and Markets. [read post]
