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16 Jan 2024, 1:19 pm by Kevin LaCroix
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
12 Sep 2013, 8:09 am by D. Daxton White
  Of course, it is all of these costs that make the investments so profitable for insurance providers and this is why they are willing to pay such a high commission to the financial advisors willing to sell the products. v. [read post]
24 Mar 2024, 9:01 pm by renholding
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]
24 Jan 2022, 6:30 am
Securities and Exchange Commission (“SEC”) and if the Biden Administration’s Build Back Better Act makes further headway. [read post]
24 Oct 2023, 9:01 pm by renholding
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]
18 Apr 2018, 1:33 pm by Adam Feldman
Securities and Exchange Commission, which will be argued next week. [read post]
21 Dec 2016, 7:19 am by Paul Lyons
Securities and Exchange Commission’s whistleblower program hit several milestones over the course of 2016, including their first stand-alone action against a company for whistleblower retaliation. [read post]
6 Jan 2015, 4:14 am by Kevin LaCroix
As noted here, the company is already the target of a Federal Trade Commission enforcement action in connection with the breaches. [read post]
10 Jun 2016, 6:15 am
Securities & Exchange Commission, on Friday, June 3, 2016 Tags: Audit trail, Capital formation, Capital markets, Disclosure, Dodd-Frank Act, Equity capital, Investor protection, JOBS Act, Regulation NMS, SEC, SEC rulemaking, Securities regulation, Small firms, Transparency Delaware Court of Chancery Appraises Fully-Shopped Company at Nearly 30% Over Merger Price Posted by Martin Lipton and Theodore N. [read post]
4 Oct 2021, 2:32 pm by Kevin LaCroix
Securities and Exchange Commission (“SEC”) recently assessed Pearson plc (“Pearson”) with a $1 million penalty for allegedly making material statements and omissions concerning its disclosure of a cybersecurity breach. [read post]
12 Jun 2009, 10:49 am
Issue:  Whether the Securities and Exchange Commission’s new Rule 16b-3, exempting from disgorgement those short-swing profits realized from an insider’s acquisition of securities from the insider’s own company - is a lawful interpretation of Section 16(b) of the Securities Exchange Act of 1934 and whether it can apply retroactively where it serves to clarify an ambiguity in a prior version of the rule. … [read post]
23 Nov 2022, 5:04 pm
  In this case, those tropes touch on human rights, sustainability, national security, and the protection of vital global economic corridors. [read post]
This post provides an overview of shareholder proposals submitted to public companies during the 2022 proxy season,[1] including statistics and notable decisions from the staff (the “Staff”) of the Securities and Exchange Commission (the “SEC”) on no-action requests.[2] I. [read post]