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20 Apr 2025, 6:30 am
On April 1, 2025, the United States Court of Appeals for the First Circuit overturned a $93 million judgment issued against Commonwealth Financial Network (“Commonwealth”) nearly one year ago in a case by the Securities and Exchange Commission (“SEC”) concerning alleged failures to adequately disclose revenue sharing payments.[1] A three-judge panel has remanded the case to the District Court for the District of Massachusetts taking the SEC to… [read post]
20 Apr 2025, 6:30 am
On April 1, 2025, the United States Court of Appeals for the First Circuit overturned a $93 million judgment issued against Commonwealth Financial Network (“Commonwealth”) nearly one year ago in a case by the Securities and Exchange Commission (“SEC”) concerning alleged failures to adequately disclose revenue sharing payments.[1] A three-judge panel has remanded the case to the District Court for the District of Massachusetts taking the SEC to… [read post]
18 Apr 2025, 10:46 am
The SEC Whistleblower Program In particular, Grassley focused on how Meta’s severance agreement with Wynn-Williams might interfere with her ability to report her concerns to the Security and Exchange Commission’s (SEC) under the SEC Whistleblower Program. [read post]
18 Apr 2025, 6:30 am
Securities and Exchange Commission, on Wednesday, April 16, 2025 Tags: IPO, Public Companies, SEC, Small Business Chancery Orders Discovery Sanctions for COO-Director Over Personal Email Auto-Delete—Facebook Posted by Gail Weinstein, Philip Richter, and Steven Epstein, Fried, Frank, Harris, Shriver & Jacobson LLP, on Thursday, April 17, 2025 Tags: COOs, Delaware Court of Chancery, ESI, Facebook Stakeholder Orientation and Accounting Conservatism: Evidence… [read post]
18 Apr 2025, 6:30 am
Securities and Exchange Commission, on Wednesday, April 16, 2025 Tags: IPO, Public Companies, SEC, Small Business Chancery Orders Discovery Sanctions for COO-Director Over Personal Email Auto-Delete—Facebook Posted by Gail Weinstein, Philip Richter, and Steven Epstein, Fried, Frank, Harris, Shriver & Jacobson LLP, on Thursday, April 17, 2025 Tags: COOs, Delaware Court of Chancery, ESI, Facebook Stakeholder Orientation and Accounting Conservatism: Evidence… [read post]
18 Apr 2025, 2:30 am
We are including this address solely for the purpose of compliance with the Securities and Exchange Commission’s rules. [read post]
18 Apr 2025, 2:00 am
Securities and Exchange Commission (SEC) – Handles stock market-related fraud and insider trading cases. [read post]
17 Apr 2025, 12:11 pm
Justice Department (DOJ) Antitrust Division and Lina Khan was appointed chair of the Federal Trade Commission (FTC). [read post]
17 Apr 2025, 7:40 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that its meeting on Tuesday, May 6, 2025, will focus on the practical market considerations and regulatory challenges of Regulation A. [read post]
17 Apr 2025, 4:57 am
El Salvador’s President Nayib Bukele told Homeland Security Secretary Kristi Noem he plans to double the size of the Terrorism Confinement Center, the maximum-security prison where U.S. deportees are held, during Noem’s visit last month, sources say. [read post]
16 Apr 2025, 9:01 pm
Notably, the Acting Chairman of the Commodity Futures Trading Commission (“CFTC”), Caroline Pham, lauded the Memorandum and, likewise, directed the Division of Enforcement not pursue regulatory violations in cases involving digital assets—including in particular violations of registration requirements under the Commodity Exchange Act—unless there is evidence that the defendant knew of the licensing or registration requirement at issue and willfully violated… [read post]
16 Apr 2025, 6:10 pm
Securities and Exchange Commission (“SEC”) filed a complaint against Rodriguez last year accusing him of misappropriating over $4.6 million from the accounts of at least 10 investors at Morgan Stanley where he was a registered representative from 2009 to 2021. [read post]
16 Apr 2025, 11:50 am
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 25 roundtable, “Know Your Custodian: Key Considerations for Crypto Custody. [read post]
16 Apr 2025, 11:10 am
The Securities and Exchange Commission today announced a two-year extension of the effective and compliance dates for rule amendments adopted in August 2024 that require many types of registered funds to more frequently report portfolio-related…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
16 Apr 2025, 7:01 am
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled its anti-fraud public service campaign, which warns investors about the devastating impact relationship investment scams can have on their financial…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
16 Apr 2025, 6:32 am
Securities and Exchange Commission. [read post]
16 Apr 2025, 6:32 am
Securities and Exchange Commission. [read post]
16 Apr 2025, 12:15 am
With respect to the current offering, it is also possible that the Securities and Exchange Commission could question whether any part of the net earnings Harvard inure to the benefit of any person. [read post]
15 Apr 2025, 8:27 pm
The following law review articles relating to securities regulation are now available in paper format: Carol Goforth, The Securities and Exchange Commission and Cryptoassets: A Study in Irony, 87 Alb. [read post]
15 Apr 2025, 4:00 am
Keep an eye on the SEC Proposed and Adopted Rules Tracker for the latest updates from the Securities and Exchange Commission. [read post]
