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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]
20 Apr 2024, 6:30 am
On March 21, 2024, the US Court of Appeals for the Eighth Circuit was selected as the court that will hear challenges against the Securities and Exchange Commission (SEC or Commission) over its final climate disclosures rules, which were adopted on March 6.[1] On April 4, 2024, the SEC announced that it would voluntarily stay its final climate disclosure rules pending judicial review.[2] The announcement comes on the heels of multiple requests for a stay… [read post]
20 Apr 2024, 6:30 am
On March 21, 2024, the US Court of Appeals for the Eighth Circuit was selected as the court that will hear challenges against the Securities and Exchange Commission (SEC or Commission) over its final climate disclosures rules, which were adopted on March 6.[1] On April 4, 2024, the SEC announced that it would voluntarily stay its final climate disclosure rules pending judicial review.[2] The announcement comes on the heels of multiple requests for a stay… [read post]
19 Apr 2024, 2:45 pm
The Securities and Exchange Commission is the primary securities regulator in the U.S. [read post]
19 Apr 2024, 9:36 am
Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services industry. [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]
19 Apr 2024, 5:35 am
Securities and Exchange Commission (the “SEC”) adopted S7-10-22 – The Enhancement and Standardization of Climate-Related Disclosures for Investors (the “U.S. [read post]
19 Apr 2024, 1:46 am
However, there are a few exceptions to BOIR filing: Publicly traded companies: Companies already registered with the Securities and Exchange Commission (SEC) are exempt from filing a BOIR because ownership information is already publicly available. [read post]
18 Apr 2024, 9:01 pm
Or, it may discuss security risks or competitive risks from AI. [read post]
18 Apr 2024, 11:15 am
In 2020, the Securities and Exchange Commission accused Acharya of fraud, claiming he bilked 250 unwitting investors, many of them of South Asian heritage, out of about $119 million that they invested in projects by Acharya and Silicon Sage Builders. [read post]
18 Apr 2024, 7:37 am
Securities and Exchange Commission (“SEC”) announced they had settled charges against 5 registered investment advisers for violations of the SEC’s Marketing Rule. [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]
