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22 Apr 2024, 1:11 pm
In connection with private equity-backed public offerings, the sponsoring firm and its principals and affiliated funds are routinely named as defendants in such lawsuits—both as primary actors under Section (10)(b) of the Securities and Exchange Act of 1934 and as controlling persons under Section 15 of the Securities Act of 1933 and Section 20(a) of the Exchange Act. [read post]
19 Apr 2024, 9:27 am
The Securities and Exchange Commission (“SEC”) approved 11 spot Bitcoin exchange-traded funds (“ETFs”) on January 10, 2024, marking a historic moment in the crypto industry. [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
24 Mar 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]
20 Mar 2024, 8:24 pm
It's reasonable to assume the future holds more aggressive and content-intensive applications of AI (e.g., “CoPilot – write the film score for the next season of my Netflix series”), and thus more aggressive contracting with respect to commissioned uses of AI. [read post]
7 Mar 2024, 5:28 am
Securities and Exchange Commission v. [read post]
6 Mar 2024, 9:03 pm
[5] Commission Guidance Regarding Disclosure Related to Climate Change, Release No. 33-9106 (Feb. 2, 2010) [75 FR 6290 (Feb. 8, 2010)] [6] See Basic Inc. v. [read post]
4 Mar 2024, 5:56 pm
" (NSBA v. [read post]
26 Jan 2024, 6:00 am
Coinbase has asked the court to dismiss the Securities and Exchange Commission’s lawsuit alleging the largest U.S. crypto exchange is flouting its rules. [read post]
18 Jan 2024, 11:13 am
On January 10, 2024, the Securities and Exchange Commission (SEC) announced that global software company SAP had agreed to pay $100M for violations of the Foreign Corrupt Practices Act (FCPA). [read post]
16 Jan 2024, 1:19 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
28 Dec 2023, 9:05 pm
Supreme Court’s decision in Dobbs v. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
13 Dec 2023, 4:54 am
A U.N. commission of inquiry already examining war crimes in Israel and the occupied Palestinian territories said its investigation would probe accusations of sexual violence and provide evidence to the International Criminal Court, although Israel has refused to cooperate with such investigation as it accuses the U.N. of being bias. [read post]
1 Dec 2023, 3:00 am
Yahoo News – Michael Bender and Anjali Huynh (New York Times) | Published: 11/29/2023 Since the Supreme Court overturned Roe v. [read post]
17 Nov 2023, 3:00 am
Supreme Court’s ruling in Dobbs v. [read post]
10 Nov 2023, 6:30 am
Securities and Exchange Commission, on Wednesday, November 8, 2023 Tags: Clawbacks, Proxy season, SEC, SPACs Top 5 SEC Developments Posted by Haimavathi V. [read post]
10 Nov 2023, 6:30 am
Securities and Exchange Commission, on Wednesday, November 8, 2023 Tags: Clawbacks, Proxy season, SEC, SPACs Top 5 SEC Developments Posted by Haimavathi V. [read post]
24 Oct 2023, 9:01 pm
Through leadership, training, constant oversight and the right tone at the top, you need to ensure that the policies are actually implemented and followed. [read post]
20 Oct 2023, 2:40 pm
In a September 11, 2023 press release, the Securities and Exchange Commission (“SEC”) announced that it charged nine registered investment advisers for showing hypothetical performance results on their websites without adopting the necessary policies and procedures required under the SEC’s new marketing rules and regulations (the “New Marketing Rules”). [read post]
