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18 Apr 2024, 6:32 am
The 2024 proxy season is in full swing, as public companies are in the process of submitting their proxy statements (DEF14A) to the Securities and Exchange Commission (SEC) ahead of annual shareholder meetings. [read post]
18 Apr 2024, 6:32 am
The 2024 proxy season is in full swing, as public companies are in the process of submitting their proxy statements (DEF14A) to the Securities and Exchange Commission (SEC) ahead of annual shareholder meetings. [read post]
17 Apr 2024, 1:04 pm
In response, the Securities and Exchange Commission (“SEC”) implemented new regulations which heightened disclosure requirements for corporate cybercrime risk management. [read post]
17 Apr 2024, 11:50 am
The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May 16, 2024. [read post]
17 Apr 2024, 7:35 am
The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. [read post]
17 Apr 2024, 7:05 am
Jury selection started earlier this week in the first ever criminal trial of a U.S. president. [read post]
17 Apr 2024, 5:19 am
The commission was formed in 2021 to investigate human rights violations in Israel and the Palestinian territories. [read post]
16 Apr 2024, 9:01 pm
Securities and Exchange Commission approved in a 3-2 vote final rules that require most reporting companies to provide certain climate-related information in their registration statements and annual reports filed with the SEC. [read post]
16 Apr 2024, 8:47 am
They are thus urging the DOJ to model its program after the Dodd-Frank Act’s programs at the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
16 Apr 2024, 7:19 am
The case involves Rule 10b-5 of the Securities and Exchange Commission. [read post]
16 Apr 2024, 5:29 am
Securities and Exchange Commission (SEC) continues to broaden the use of forfeiture of executive compensation as a regulatory tool with an increased emphasis on making employers do the clawing-back themselves.In October 2022, the SEC adopted the new Rule 10D-1, 17 C.F. [read post]
15 Apr 2024, 7:09 pm
Following recent allegations by third-party restructuring company Palladin that the Washington State-based real estate investment firm may have been a Ponzi scam, now there are reports that the Federal Bureau of Investigation (FBI) is conducting a criminal investigation and the US Securities and Exchange Commission (SEC) is performing a regulatory one. [read post]
15 Apr 2024, 6:30 am
The Securities and Exchange Commission (SEC) adopted its long-awaited climate disclosure rules on March 6, 2024. [read post]
15 Apr 2024, 6:30 am
The Securities and Exchange Commission (SEC) adopted its long-awaited climate disclosure rules on March 6, 2024. [read post]
15 Apr 2024, 4:15 am
The opinion, authored by Justice Sotomayor, states: Securities and Exchange Commission (SEC) Rule 10b–5(b) makes it unlawful to omit material facts in connection with buying or selling securities when that omission renders “statements made” misleading. [read post]
14 Apr 2024, 6:59 am
The charges against Cook were advanced by the Serious Fraud Office (SFO) and concerned secret payments in exchange for commissioning work from offshore consultants for the MoD. [read post]
12 Apr 2024, 11:27 am
On March 29, the Securities and Exchange Commission (SEC) published Notices of Covered Actions (NoCAs) for a series of related enforcement actions charging firms with widespread recordkeeping failures. [read post]
12 Apr 2024, 8:45 am
Global 17 April 2024 -On 17 January 2024, the Basel Committee on Banking Supervision and the International Organization of Securities Commissions published a report on streamlining variation margin processes and the responsiveness of initial margin models in non-centrally cleared markets. [read post]
12 Apr 2024, 8:15 am
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. [read post]
12 Apr 2024, 8:11 am
The Securities and Exchange Commission brought actions five investment advisory firms for violations of the Marketing Rule. [read post]
