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SEC Extends Compliance Dates and Provides Temporary Exemption for Rule Related to Clearing of U.S. Treasury Securities
25 Feb 2025, 3:25 pm by Mark Astarita
The Securities and Exchange Commission today extended the compliance dates for Rule 17ad-22(e)(18)(iv [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Remarks by Chair Gensler Before the 2023 Securities Enforcement Forum
26 Oct 2023, 6:31 am
Securities and Exchange Commission, on Thursday, October 26, 2023 Editor's Note: Gary Gensler is [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Remarks by Chair Gensler Before the 2023 Securities Enforcement Forum
26 Oct 2023, 6:31 am
Securities and Exchange Commission, on Thursday, October 26, 2023 Editor's Note: Gary Gensler is [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Statement by Chairman Clayton on Harmonizing, Simplifying and Improving the Exempt Offering Framework
3 Nov 2020, 6:17 am
Securities and Exchange Commission, on Tuesday, November 3, 2020 Editor's Note: Jay Clayton  [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Statement by Chairman Clayton on Strengthening the SEC’s Whistleblower Program
26 Sep 2020, 6:27 am
Securities and Exchange Commission, on Saturday, September 26, 2020 Editor's Note: Jay Clayton& [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Statement by SEC Chairman Jay Clayton on Proposed Order Concerning Equity Market Data
9 Jan 2020, 6:28 am
Securities and Exchange Commission, on Thursday, January 9, 2020 Editor's Note: Jay Clayton is [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Under Armour shareholders allege company falsely inflated prices
13 Feb 2017, 1:47 pm by Heather Cobun
District Court in Baltimore, alleges violations of the Securities Exchange Act and Securities and Exchange [read post]
On the Record - http://thedailyrecord.com/ontherecord/
SEC Issues Policy Statement on Phase in of Derivatives Regulation
11 Jun 2012, 3:23 pm by Robert J. Tannous
On June 11, 2012, the Securities and Exchange Commission issued a policy statement describing the phase [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
Gabelli v. SEC - Post-Decision SCOTUScast
13 Mar 2013, 4:55 pm by The Federalist Society
Securities and Exchange Commission.  The question in this case was whether, under 28 U.S.C. [read post]
Federalist Society SCOTUScast - http://fedsoc.server326.com/audio/SCOTUScast/SCOTUScast.xml
Gabelli v. SEC - Post-Decision SCOTUScast
13 Mar 2013, 4:55 pm by The Federalist Society
Securities and Exchange Commission.  The question in this case was whether, under 28 U.S.C. [read post]
Federalist Society SCOTUScast - http://fedsoc.server326.com/audio/SCOTUScast/SCOTUScast.xml
Short Selling at the Korea Stock Exchange Permitted – Don’t Forget the Disclosure Requirements
22 Apr 2015, 7:13 am by Sean Hayes
A ban on shorting stocks in Korea was lifted late in 2013 by the Korea Financial Services Commission [read post]
Korean Law Blog - http://www.thekoreanlawblog.com/
SEC Interpretation of “Whistleblower” Definition
4 Oct 2015, 6:34 am
On August 4, 2015, the Securities and Exchange Commission (“SEC”) issued an interpretive [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Collection of Judgments by Federal Agencies
18 Feb 2025, 3:00 am by Gideon Alper
Federal agencies, such as the Federal Trade Commission (FTC) and the Securities and Exchange Commission [read post]
The Florida Asset Protection Blog - http://www.assetprotectionfl.com/
White House Moves to Streamline Independent Agencies' Regs
11 Jul 2011, 8:54 pm by constitutional lawblogger
eliminat[e] regulations" of independent regulatory agencies, including the Consumer Product Safety Commission [read post]
Constitutional Law Prof Blog - https://lawprofessors.typepad.com/conlaw/
Extension of Form PF Amendments Compliance Date
29 Jan 2025, 11:00 am by Mark Astarita
The Securities and Exchange Commission, together with the Commodity Futures Trading Commission (CFTC) [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Adopts Reporting Enhancements for Registered Investment Companies and Provides Guidance on Open-End Fund Liquidity Risk Management Programs
28 Aug 2024, 8:20 am by Mark Astarita
The Securities and Exchange Commission today adopted amendments to reporting requirements on Form N-PORT [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
17 Oct 2023, 12:03 pm by Mark Astarita
Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges GTT Communications for Disclosure Failures
25 Sep 2023, 7:00 am by Mark Astarita
The Securities and Exchange Commission today charged GTT Communications, Inc. with failing to disclose [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Division of Corporation Finance Names Senior Staff
20 Jan 2026, 12:15 pm by Mark Astarita
The Securities and Exchange Commission today announced the senior team from the Division of Corporation [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Broker-Dealer Nationwide Planning and Two Affiliated Investment Advisers with Violating Whistleblower Protection Rule
4 Sep 2024, 1:30 pm by Mark Astarita
The Securities and Exchange Commission today announced settled charges against three affiliated registrants [read post]
Securities Law Blog - http://seclaw.blogspot.com/