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SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement
5 Jul 2015, 6:00 am by Harvard Law School Forum on Corporate Governance and Financial Regulation
Securities and Exchange Commission. This post is based on a Davis Polk client memorandum. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder
1 Aug 2023, 9:16 am by Mark Astarita
The Securities and Exchange Commission today charged Samuel Masucci and entities he founded and controls [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Merrill Lynch for Failing to Disclose Foreign Exchange Fees to Clients
3 Apr 2023, 1:10 pm by Mark Astarita
The Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Adopts Rules to Enhance Proxy Voting Disclosure by Registered Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers
2 Nov 2022, 8:21 am by Mark Astarita
The Securities and Exchange Commission today adopted amendments to Form N-PX to enhance the information [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Weekly Roundup: June 26-July 2, 2025
4 Jul 2025, 4:30 am
Securities and Exchange Commission, on Friday, June 27, 2025 Tags: Board of Directors, Executive Compensation [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Weekly Roundup: June 26-July 2, 2025
4 Jul 2025, 4:30 am
Securities and Exchange Commission, on Friday, June 27, 2025 Tags: Board of Directors, Executive Compensation [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Proposed SEC Exemption for Certain Finders
15 Oct 2020, 9:23 am by Daniel M. Baich
On October 7, 2020, the Securities and Exchange Commission (”SEC”) proposed a new limited [read post]
Cross-Border Counselor: What Canadian Companies and Their Advisors Need to Know About U.S. Law - https://crossbordercounselor.com/
SEC Reopens Comment Period for Position Reporting of Large Security-Based Swap Positions
20 Jun 2023, 3:45 pm by Mark Astarita
The Securities and Exchange Commission today reopened the comment period for its proposed rule for position [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Fee Rate Advisory #1 for Fiscal Year 2022
8 Apr 2022, 11:36 am by Mark Astarita
The Securities and Exchange Commission today announced that starting on May 14, 2022, the fee rates applicable [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Asks Congress For Increased Authority To Regulate Muni Bond Market
8 Aug 2012, 9:01 am by Justin Bagdady
In its recently-released Report on the Municipal Securities Market, the Securities and Exchange Commission [read post]
Securities Litigation, Investigations and Enforcement - http://blogs.orrick.com/securities-litigation/
Statement of Chairman Jay Clayton on Proposals to Enhance the Accuracy, Transparency and Effectiveness of Our Proxy Voting System
5 Nov 2019, 11:35 am
Securities and Exchange Commission, on Tuesday, November 5, 2019 Editor's Note: Jay Clayton is [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
26 Jul 2023, 10:16 am by Mark Astarita
The Securities and Exchange Commission today proposed amendments to the rule permitting certain investment [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Amends Whistleblower Rules to Incentivize Whistleblower Tips
26 Aug 2022, 11:05 am by Mark Astarita
The Securities and Exchange Commission today adopted two amendments to the rules governing its whistleblower [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations
21 Jun 2022, 8:05 am by Mark Astarita
The Securities and Exchange Commission today charged Haverford, PA-based Egan-Jones Ratings Company, [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting
10 Feb 2022, 10:05 am by Mark Astarita
The Securities and Exchange Commission today announced that it proposed rule amendments governing beneficial [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
27 Mar 2024, 7:05 am by Mark Astarita
The Securities and Exchange Commission today adopted amendments to the rule permitting certain internet [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes to Modernize the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934
22 Mar 2023, 8:05 am by Mark Astarita
The Securities and Exchange Commission today proposed amendments designed to modernize its information [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments
25 Feb 2022, 8:15 am by Mark Astarita
The Securities and Exchange Commission today announced that it has voted to propose changes that would [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Approves NYSE Rules Allowing Companies to Raise Money in Registered Direct Offerings
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will [read post]
As Prescribed - https://www.morganlewis.com/blogs/asprescribed
SEC Approves NYSE Rules Allowing Companies to Raise Money in Registered Direct Offerings
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will [read post]
Up & Atom - https://www.morganlewis.com/blogs/upandatom