Search for: "Securities and Exchange Commission"
Results 141 - 160
of 26,328
Sort by Relevance
|
Sort by Date
29 Mar 2024, 5:22 am
Most recently, Gary Gensler, the Chair of the Securities and Exchange Commission (SEC), raised concerns about the overreliance on AI in financial decision-making. [read post]
29 Mar 2024, 4:00 am
The FEC Wants to Let Campaigns Pay for Security. [read post]
29 Mar 2024, 12:15 am
I discussed this problem and even offered a less than hyperbolic solution about a decade ago in this post: The Securities and Exchange Commission should create a list of standard risk factors and issuers should be required to incorporate by reference all applicable risk factors into their filings. [read post]
28 Mar 2024, 9:05 pm
., Securities and Exchange Commission and Commodity Futures Trading Commission programs authorized under Dodd-Frank as well as similar programs implemented by the Internal Revenue Service and the Financial Crimes Enforcement Network). [read post]
28 Mar 2024, 9:01 pm
Treasury Department, issued a Notice of Proposed Rulemaking (“Proposed Rule”) that would extend certain anti-money laundering program requirements to: investment advisers registered (“RIAs”) with the Securities and Exchange Commission (“SEC”); and investment advisers that report to the SEC as exempt reporting advisers (“ERAs”). [read post]
28 Mar 2024, 10:04 am
This is in light of the US Securities and Exchange Commission announcing its move to T+1 with effect from 28 May 2024 which followed the earlier move to T+1 in India and China’s operation of T+0 for many years. [read post]
27 Mar 2024, 8:10 pm
The Securities and Exchange Commission (SEC) keeps record of every company in the United States. [read post]
27 Mar 2024, 5:25 pm
Securities and Exchange Commission (SEC) is pursuing enforcement based on a novel theory of “shadow insider trading. [read post]
27 Mar 2024, 2:33 pm
SEC Eliminates Scope 3 Emissions from Final Rule on Climate-Related Disclosures In other climate-related disclosure news, the Securities and Exchange Commission (“SEC”) voted on March 6, 2024 to adopt long-awaited final rules on climate-related disclosures. [read post]
27 Mar 2024, 1:28 pm
Securities and Exchange Commission is actively probing technology and telecom companies on how they responded to the SolarWinds cyber attack in 2020, according to Bloomberg. [read post]
27 Mar 2024, 7:05 am
The Securities and Exchange Commission today adopted amendments to the rule permitting certain internet investment advisers to register with the Commission (the “internet adviser exemption”). [read post]
26 Mar 2024, 9:50 pm
” The complaint alleges that the defendants violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [read post]
26 Mar 2024, 2:48 pm
In the last few years, the Securities and Exchange Commission (“SEC”) has charged several individuals with insider trading after they misappropriated material, nonpublic information obtained as a result of their remote work environment.[1] Most recently, a man was charged with insider trading after misappropriating trade secrets he obtained by listening to his wife’s[2] business calls while the two worked from home. [read post]
26 Mar 2024, 1:20 pm
The Securities and Exchange Commission is seeking five candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations. [read post]
26 Mar 2024, 10:53 am
On January 10, 2024, the Securities and Exchange Commission (SEC) approved eleven applications for the first ever Bitcoin Spot exchange-traded funds (ETFs), which have been publicly listed and subsequently trading in the secondary market since their approval. [read post]
26 Mar 2024, 8:11 am
The Securities and Exchange Commission has issued insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of Silicon Valley-based technology company Arista Networks, Inc. [read post]
26 Mar 2024, 6:05 am
The Securities and Exchange Commission today announced insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of Silicon Valley-based technology company Arista Networks, Inc. [read post]
25 Mar 2024, 10:00 pm
The US Securities and Exchange Commission (SEC) completed a historic rulemaking on March 6, 2024 by adopting new rules requiring public companies to disclose certain climate-related information in registration statements and annual reports. [read post]
25 Mar 2024, 10:00 pm
The US Securities and Exchange Commission (SEC) completed a historic rulemaking on March 6, 2024 by adopting new rules requiring public companies to disclose certain climate-related information in registration statements and annual reports. [read post]
25 Mar 2024, 10:00 pm
The US Securities and Exchange Commission (SEC) completed a historic rulemaking on March 6, 2024 by adopting new rules requiring public companies to disclose certain climate-related information in registration statements and annual reports. [read post]
