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6 Mar 2025, 6:51 am
” “Over the past two decades, the Big Four have amassed lucrative consulting arms despite strict conflict-of-interest rules set after accounting scandals toppled Enron Corp. and WorldCom Inc. and now policed by the Securities and Exchange Commission. [read post]
6 Mar 2025, 6:17 am
The commission finds that On January 10, 2024, a final judgment was entered by consent against Kennedy, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 (‘Securities Act’) and Section 10(b) of the Exchange Act and Rules 10b-5 and 15l-1(a)(1) thereunder, as set forth in the judgment entered in the civil action entitled Securities and Exchange Commission v. [read post]
6 Mar 2025, 5:51 am
” President Donald Trump declared, “[W]e need Greenland for national security purposes. [read post]
6 Mar 2025, 3:11 am
Court of Appeals for the Fifth Circuit that the Securities and Exchange Commission’s (SEC) use of an administrative proceeding conducted by an SEC ALJ to impose a civil penalty violated the Seventh Amendment’s right to a jury trial. [read post]
5 Mar 2025, 4:10 am
This change in the reporting requirements applicable to beneficial owners is significant for companies, because when it comes to disclosure concerning greater than 5% beneficial owners, Instruction 3 to Item 403 of Regulation S-K states: The registrant shall be deemed to know the contents of any statements filed with the Commission pursuant to section 13(d) or 13(g) of the Exchange Act. [read post]
4 Mar 2025, 9:04 am
These instruments can be stocks, bonds, certificates of deposit, treasury investments, and similar items under the jurisdiction of the Securities and Exchange Commission (SEC). [read post]
4 Mar 2025, 8:09 am
The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted against Centaurus Financial, Inc. [read post]
4 Mar 2025, 8:06 am
The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted against Ashish Aggarwal (‘Respondent’). [read post]
4 Mar 2025, 7:55 am
Securities and Exchange Commission (SEC) on January 21, 2025, has resulted in a number of key policy developments. [read post]
4 Mar 2025, 7:55 am
Securities and Exchange Commission (SEC) on January 21, 2025, has resulted in a number of key policy developments. [read post]
4 Mar 2025, 6:33 am
The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted against Centaurus Financial, Inc. [read post]
4 Mar 2025, 6:30 am
The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted against Ashish Aggarwal (‘Respondent’). [read post]
3 Mar 2025, 11:00 pm
Keep an eye on the SEC Proposed and Adopted Rules Tracker for the latest updates from the Securities and Exchange Commission. [read post]
3 Mar 2025, 9:07 pm
Securities and Exchange Commission, the National Labor Relations Board, and other adjudicatory agencies have been tasked with pursuing their own regulatory agendas, the Trump Administration’s executive order, “Ensuring Accountability for All Agencies” makes clear that the Administration is ignoring decades-old U.S. [read post]
3 Mar 2025, 9:01 pm
Securities and Exchange Commission has issued three new sets of guidance that may influence and potentially reshape how shareholders engage with companies going forward. [read post]
3 Mar 2025, 7:43 pm
Securities and Exchange Commission is offering some employees $50,000 if they choose to resign or to retire under an early retirement program, according to an agency memo seen by Reuters. [read post]
3 Mar 2025, 3:20 pm
The Securities and Exchange Commission today announced the members of the Crypto Task Force staff, which is advising the Commission on matters related to crypto. [read post]
3 Mar 2025, 3:20 pm
The Securities and Exchange Commission today announced that its Division of Corporation Finance is further facilitating capital formation by enhancing the accommodations available to companies for nonpublic review of draft registration statements. [read post]
3 Mar 2025, 3:20 pm
The Securities and Exchange Commission today announced that its Crypto Task Force will host a series of roundtables to discuss key areas of interest in the regulation of crypto assets. [read post]
3 Mar 2025, 6:32 am
From the moment the second Trump presidential term became a reality in November 2024, it was widely expected that the Securities and Exchange Commission (SEC) would undergo broad changes under a Republican-led commission focused on rolling back many of the Biden administration’s regulatory and enforcement initiatives. [read post]
