Search for: "In Re Securities and Exchange Commission"
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15 Jun 2023, 4:28 pm
Earlier this week, the Securities and Exchange Commission (“SEC”) published an update to its rulemaking agenda indicating that it does not plan to approve two proposed cyber rules until at least October 2023 (the agenda’s timeframe is an estimate). [read post]
27 Oct 2021, 6:29 am
Is it impossibility or whatever has been made clear for the “bargained for exchange? [read post]
30 Mar 2012, 10:46 am
A key member of the government’s broad probe into insider trading in corporate America is leaving the Securities and Exchange Commission to return private practice. [read post]
24 Aug 2010, 11:09 am
A recent ruling of the Securities and Exchange Commission (“SEC”) should serve as a yet another reminder of the importance of adequately preserving electronically stored data. [read post]
22 May 2012, 11:03 am
Senate Banking Committee today in a hearing featuring the heads of the Securities and Exchange Commission and the Commodity Futures Trading Commission. [read post]
6 Dec 2011, 6:00 pm
In a recent case, the Securities & Exchange Commission's consent settlement with Citigroup was rejected by presiding Judge Rakoff of the Federal District Court in Manhattan, calling into question SEC's enforcement regime. [read post]
26 Apr 2017, 3:15 am
That question is generating a lot of discussion early in the Trump administration as U.S. policy makers consider ways to streamline the federal bureaucracy by potentially merging the Commodity Futures Trading Commission into the Securities and Exchange Commission. [read post]
17 Nov 2011, 5:27 am
The Securities and Exchange Commission (SEC) has begun scrutinizing registration documents submitted by investment advisers to uncover misrepresentations they have made regarding their education, assets under management and other aspects of their firm. [read post]
17 Mar 2025, 9:01 pm
It has been a privilege to serve these past couple of months as the Acting Chairman of the Securities and Exchange Commission.[1] This year also marks a personal milestone – my thirtieth year of legal practice, which started out as a first-year associate in the ’40 Act practice of a major law firm. [read post]
30 Sep 2022, 7:37 am
Securities and Exchange Commission regulators about security vulnerabilities on its platform. [read post]
28 Feb 2023, 6:06 am
“Big Law Firms Back Covington in SEC Fight Over Client Data” — “A total of 83 US law firms are backing Covington & Burling in its fight with the Securities and Exchange Commission over client data. [read post]
23 May 2018, 8:11 am
The Securities and Exchange Commission building, located in Washington, D.C.Members of Congress are urging the Securities Exchange Commission (SEC) to investigate the illegal trafficking of wildlife on Facebook. [read post]
16 Oct 2023, 3:30 am
This excerpt from the fact sheet explains why this new rule matters: Section 13(f)(2) of the Securities Exchange Act of 1934 (“Exchange Act”), added under Section 929X of the Dodd-Frank Wall Street Reform and Consumer Protection Act, requires the Commission to prescribe rules to make certain short sale related data publicly available. [read post]
23 Mar 2023, 9:30 pm
The Commission has taken issue not just with sales for cash, but also “giveaways. [read post]
6 Apr 2010, 1:59 pm
There are a variety of circumstances under which investors may provide sensitive tax-related information to the Securities and Exchange Commission; they may be victims of securities fraud eager to assist the SEC in recovering lost monies or, under the SEC's newly-developed policy of encouraging and rewarding cooperation -- previously reported here -- they may be low-level participants in the fraud anxious to prove their bona fides. [read post]
7 Nov 2022, 12:15 am
The Securities and Exchange Commission new "clawback" rules were approved on a divided vote. [read post]
2 Mar 2018, 6:09 am
Securities and Exchange Commission, on Tuesday, February 27, 2018 Tags: Arbitration, Charter & bylaws, Class actions, Institutional Investors, Investor protection, IPOs, Retail investors, Securities Act, Securities litigation, Securities regulation, Settlements, Shareholder rights An Overview of U.S. [read post]
11 Sep 2008, 9:38 pm
These provisions respectively will allow the Commission to allocate its funds more efficiently and prevent bad actors from re-entering other parts of the industry. [read post]
21 Jun 2012, 2:01 pm
Members of the Securities and Exchange Commission’s Investor Advisory Committee are cautioning that it is imperative that the SEC not ignore its rulemaking obligations that it was tasked under the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act even as it seeks to implement the new capital formation statute. [read post]
11 Jun 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
