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Proposed Regulation Best Execution: SEC Considers Market Structure Shakeup
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed [read post]
Up & Atom - https://www.morganlewis.com/blogs/upandatom
Proposed Regulation Best Execution: SEC Considers Market Structure Shakeup
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed [read post]
As Prescribed - https://www.morganlewis.com/blogs/asprescribed
Proposed Regulation Best Execution: SEC Considers Market Structure Shakeup
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed [read post]
Power & Pipes - https://www.morganlewis.com/blogs/powerandpipes
SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agency
6 Jun 2023, 5:30 am by Mark Astarita
The Securities and Exchange Commission today charged Coinbase, Inc. with operating its crypto asset trading [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes Amendments to Enhance Disclosure of Order Execution Information
14 Dec 2022, 10:11 am by Mark Astarita
The Securities and Exchange Commission today proposed amendments that would update the disclosure required [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Eight Social Media Influencers in $100 Million Stock Manipulation Scheme Promoted on Discord and Twitter
14 Dec 2022, 6:08 am by Mark Astarita
The Securities and Exchange Commission today announced charges against eight individuals in a $100 million [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Henderson on the Materiality of Climate Change
7 Jan 2010, 3:09 pm by buslawblogger
following abstract on SSRN: Investor groups in both Canada and the U.S. have petitioned the Ontario Securities [read post]
Business Law Prof Blog - https://lawprofessors.typepad.com/business_law/
SEC Chair on PCAOB Oversight and 2016 Budget Approval
22 Mar 2016, 6:19 am
Securities & Exchange Commission, on Tuesday, March 22, 2016 Editor's Note: Mary Jo White is [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Adopts New Rule Requiring Listing Standards for Compensation Committees and Compensation Advisers
20 Jun 2012, 11:45 am by Robert J. Tannous
On June 20, 2012, the Securities and Exchange Commission ("SEC") approved a new rule that directs [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
SEC Seeks Candidates for Membership on the Investor Advisory Committee
22 Jan 2026, 6:05 am by Mark Astarita
The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC&rsquo [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Dismissal of “Failure to Supervise” Proceeding
25 Feb 2012, 6:32 am by Giovanni P. Prezioso, Cleary Gottlieb Steen & Hamilton LLP,
at Cleary Gottlieb Steen & Hamilton LLP, and former General Counsel of the Securities and Exchange [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Updated Securities and Exchange Commission Whistleblower Awards List
7 Aug 2013, 6:08 am
Subject to the Final Rules, individuals who voluntarily provided the Commission with original information [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
Mens Rea for Investment Advisers Act Violations
11 Jul 2019, 6:26 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Adopts Amendments to Modernize Rule 10b5-1 Insider Trading Plans and Related Disclosures
14 Dec 2022, 9:09 am by Mark Astarita
The Securities and Exchange Commission today adopted amendments to Rule 10b5-1 under the Securities Exchange [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Kraken for Operating as an Unregistered Securities Exchange, Broker, Dealer, and Clearing Agency
20 Nov 2023, 2:35 pm by Mark Astarita
The Securities and Exchange Commission today charged Payward Inc. and Payward Ventures Inc., together [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks
18 Oct 2023, 8:22 am by Mark Astarita
The Securities and Exchange Commission today proposed a new rule that would prohibit national securities [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Kraken for Operating as an Unregistered Securities Exchange, Broker, Dealer, and Clearing Agency
21 Nov 2023, 8:10 am by Mark Astarita
The Securities and Exchange Commission today charged Payward Inc. and Payward Ventures Inc., together [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Crypto Asset Trading Platform Bittrex and Former CEO to Settle SEC Charges for Operating an Unregistered Exchange, Broker, and Clearing Agency
10 Aug 2023, 1:45 pm by Mark Astarita
The Securities and Exchange Commission today announced that crypto asset trading platform Bittrex Inc [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Crypto Asset Trading Platform Bittrex and its Former CEO for Operating an Unregistered Exchange, Broker, and Clearing Agency
17 Apr 2023, 7:15 am by Mark Astarita
The Securities and Exchange Commission today charged crypto asset trading platform Bittrex, Inc. and [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Are Cryptoexchanges the Exchange Act’s Trojan Horse?
5 Mar 2024, 9:05 pm by renholding
Securities and Exchange Commission (SEC) for operating as unregistered securities exchanges, broker-dealers [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/