Search for: "Securities and Exchange Commission"
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19 Feb 2025, 10:00 pm
The US Securities and Exchange Commission brought a number of significant enforcement proceedings against investment advisers and broker-dealers in FY 2024 and during the first quarter of FY 2025. [read post]
19 Feb 2025, 2:04 pm
They alert the US Securities and Exchange Commission (SEC) to the activity and provide critical information that SEC staff and investigators may be unable to locate otherwise. [read post]
19 Feb 2025, 1:15 pm
” In their zeal to cut media contracts, DOGE appears to have cancelled the Securities and Exchange Commission's contract with Westlaw (which is owned by Reuters' parent company). [read post]
19 Feb 2025, 11:09 am
" An accompanying fact sheet issued by the White House said the order applies to "so-called independent agencies like the Federal Trade Commission (FTC), Federal Communications Commission (FCC), and Securities and Exchange Commission (SEC). [read post]
19 Feb 2025, 6:00 am
Unsurprisingly, the Trump Administration has signaled its intent to roll back the controversial federal climate disclosure rule promulgated by the Securities and Exchange Commission (“SEC” or “Commission”) last year. [read post]
19 Feb 2025, 5:18 am
Trump and his advisors like Steve Bannon vowed that they would smash the deep state as their first order of business.This latest salvo simply echoes conservative critiques that multiplied as the New Deal got under way in the 1930s and created the plethora of administrative agencies like the National Labor Relations Board and the Securities and Exchange Commission. [read post]
18 Feb 2025, 10:03 am
Securities and Exchange Commission (SEC) rescinded Staff Accounting Bulletin (SAB) No. 121, which had made it impractical for banks to provide digital asset custody services since first issued in March 2022.1 Under the now-rescinded SAB 121, banks seeking to hold bitcoin or other crypto assets in a custodial capacity for their customers were required to record the custodial holdings as a liability on their balance sheets and hold a corresponding safeguarding asset to… [read post]
18 Feb 2025, 9:52 am
Today, the Staff in the Division of Corporation Finance at the Securities and Exchange Commission published one new and one revised Compliance and Disclosure Interpretation (C&DI) under Regulation 13D-G. [read post]
18 Feb 2025, 9:52 am
Today, the Staff in the Division of Corporation Finance at the Securities and Exchange Commission published one new and one revised Compliance and Disclosure Interpretation (C&DI) under Regulation 13D-G. [read post]
18 Feb 2025, 7:33 am
On February 12, 2025, a group of former Securities and Exchange Commission (SEC) attorneys sent a letter to the current members of the SEC and the Senate Whistleblower Protection Caucus expressing concern about reports that the SEC has changed the process to initiate a formal investigation. [read post]
18 Feb 2025, 6:53 am
Riley Financial, which is being investigated by the Securities and Exchange Commission over ties to Kahn. [read post]
18 Feb 2025, 6:11 am
The Commission finds that on December 23, 2024, a final judgment was entered by consent against Susoeff, permanently enjoining him from future violations of Sections 17(a) of the Securities Act of 1933 (‘Securities Act’), Section 10(b) of the Securities Exchange Act of 1934 (‘Exchange Act’) and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act, as set forth in the judgment entered in the civil… [read post]
18 Feb 2025, 4:57 am
DOGE staffers are expected to arrive at the Securities and Exchange Commission (SEC) in the coming days, sources say. [read post]
18 Feb 2025, 3:00 am
Federal agencies, such as the Federal Trade Commission (FTC) and the Securities and Exchange Commission (SEC), frequently pursue individuals and businesses in federal court for monetary damages and fines related to regulatory violations. [read post]
18 Feb 2025, 2:00 am
Keep an eye on the SEC Proposed and Adopted Rules Tracker for the latest updates from the Securities and Exchange Commission. [read post]
17 Feb 2025, 4:42 pm
By publishing the practices, the Commission does not imply either endorsement or evaluation in any way. [read post]
17 Feb 2025, 9:48 am
Securities and Exchange Commission (SEC) under the Biden administration adopted rules to standardize climate-related disclosures by public companies. [read post]
17 Feb 2025, 7:20 am
The Commission had the right of refusal — something that it didn’t always exercise. [read post]
16 Feb 2025, 3:29 pm
The History and Evolution of Rule 14a-8 When Congress enacted the Securities Exchange Act of 1934, it delegated substantial authority to the Securities and Exchange Commission (SEC) to regulate proxy solicitation under § 14(a). [read post]
16 Feb 2025, 2:46 pm
This standard is based on the well-established securities law principle of materiality. [read post]
