Search for: "Securities and Exchange Commission"
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24 Apr 2024, 12:17 pm
Securities and Exchange Commission (SEC), which has a similar whistleblower rule, has cracked down on companies for muzzling whistleblowers through restrictive NDAs. [read post]
24 Apr 2024, 12:16 pm
Earlier in March, the US Securities and Exchange Commission charged investment advisers Delphia (USA) Inc. [read post]
24 Apr 2024, 10:42 am
Earlier this year, the United States Securities and Exchange Commission (“SEC”) adopted new regulations to enhance disclosures and provide additional investor protections in initial public offerings (“IPO”) by Special Purpose Acquisition Companies (“SPAC”) and in subsequent business combination transactions between SPACs and target companies (“de-SPAC transactions”). [read post]
24 Apr 2024, 7:05 am
The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. [read post]
24 Apr 2024, 6:30 am
. ___, 2024 WL 1588706 (2024), that a violation of Securities and Exchange Commission Item 303—which requires public companies to disclose “known trends or uncertainties” that could impact their income— cannot, in the absence of an otherwise misleading statement, support a private lawsuit brought under SEC Rule 10b-5(b), a regulation that implements Section 10(b) of the Securities Exchange Act of 1934. [read post]
24 Apr 2024, 6:30 am
. ___, 2024 WL 1588706 (2024), that a violation of Securities and Exchange Commission Item 303—which requires public companies to disclose “known trends or uncertainties” that could impact their income— cannot, in the absence of an otherwise misleading statement, support a private lawsuit brought under SEC Rule 10b-5(b), a regulation that implements Section 10(b) of the Securities Exchange Act of 1934. [read post]
24 Apr 2024, 3:04 am
Hence, we believe investors should vote AGAINST board members with primary responsibility of oversight of the decision to use company funds to litigate rather than pursue standard Securities and Exchange Commission (SEC) procedures. [read post]
23 Apr 2024, 5:57 am
(Editor’s note: This article is part of Just Security’s Symposium, International Law in the Face of Russia’s Aggression in Ukraine: The View from Lviv.) [read post]
22 Apr 2024, 10:00 pm
The proposal would apply to investment advisers registered with the US Securities and Exchange Commission, as well as exempt-reporting advisers. [read post]
22 Apr 2024, 10:00 pm
The proposal would apply to investment advisers registered with the US Securities and Exchange Commission, as well as exempt-reporting advisers. [read post]
22 Apr 2024, 10:00 pm
The proposal would apply to investment advisers registered with the US Securities and Exchange Commission, as well as exempt-reporting advisers. [read post]
22 Apr 2024, 10:00 pm
The proposal would apply to investment advisers registered with the US Securities and Exchange Commission, as well as exempt-reporting advisers. [read post]
22 Apr 2024, 10:00 pm
The proposal would apply to investment advisers registered with the US Securities and Exchange Commission, as well as exempt-reporting advisers. [read post]
22 Apr 2024, 10:00 pm
The proposal would apply to investment advisers registered with the US Securities and Exchange Commission, as well as exempt-reporting advisers. [read post]
22 Apr 2024, 2:04 pm
Apr. 12, 2024) (“MIC”), the United States Supreme Court (Sotomayor, J.) held unanimously that “pure omissions” in a Securities and Exchange Commission (“SEC”) filing do not support liability under SEC Rule 10b-5(b). [read post]
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]
22 Apr 2024, 6:04 am
The rule requires national securities exchanges to submit an NMS plan to implement a consolidated audit trail. [read post]
22 Apr 2024, 1:35 am
However, the Self-Employment Contribution Act (SECA) requires self-employed individuals to pay federal taxes of 15.3% (12.4% for Social Security, 2.9% for Medicare), sometimes called self-employment taxes, or social security taxes. [read post]
21 Apr 2024, 9:05 pm
Starting in the 1930s with the earliest version of its proxy rules, the Securities and Exchange Commission gradually increased the proportion of instructed votes on a shareholder’s proxy card until, for the first time in 2022, it required a fully-instructed proxy card — the universal proxy. [read post]
20 Apr 2024, 9:05 pm
In addition to teaching at the University of Pennsylvania Carey Law School, Fairfax co-directs the Institute for Law & Economics at Penn Carey Law, serves on the boards of the Institute for Law and Economic Policy and the Securities and Exchange Commission (SEC) Historical Society, and is a member of the American Law Institute and the Advisory Group for the American Law Institute Restatement of Law, Corporate Governance. [read post]
