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SEC and International Accounting Standards
16 Nov 2007, 7:29 am
In a very important vote, the Securities and Exchange Commission dropped a requirement that foreign companies [read post]
Business Law Prof Blog - https://lawprofessors.typepad.com/business_law/
The U.S. Securities and Exchange Commission brings its first whistleblower enforcement action based upon an allegedly overbroad employee confidentiality agreement
10 Apr 2015, 7:39 am by Jason Starling
Securities and Exchange Commission (SEC) has now brought its first whistleblower enforcement action against [read post]
Employer Law Report - http://www.employerlawreport.com/
Digital Tokens: No Such Thing as a Free Launch
27 Sep 2018, 6:24 am
The issuance of digital tokens in exchange for services rather than money still can constitute an offering [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
How Good Is Your Business Continuity Plan?
19 Aug 2013, 6:28 am by Doug Cornelius
The Securities and Exchange Commission wants it to be better. [read post]
Compliance Building - http://www.compliancebuilding.com
Testimony Before the Financial Services and General Government Subcommittee of the U.S. Senate Committee on Appropriations
8 May 2019, 12:36 pm
Securities and Exchange Commission, on Wednesday, May 8, 2019 Editor's Note: Jay Clayton is Chairman [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Defrauded Investors Deserve Their Day in Court
6 May 2012, 8:07 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Increasing the Vulnerability of Investors
6 Sep 2012, 5:39 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Amends Schedule 13D/G Requirements
23 Oct 2023, 10:23 am by Christopher L. Doerksen
On October 10, 2023, the Securities and Exchange Commission approved amendments to the Regulation 13D-G [read post]
Cross-Border Counselor: What Canadian Companies and Their Advisors Need to Know About U.S. Law - https://crossbordercounselor.com/
An Empirical Comparison of Insider Trading Enforcement in Canada and the US
14 Jul 2018, 7:11 am
Canadian and American securities market regulators have differing approaches to enforcement. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Morgan Stanley Smith Barney to pay $15M penalty to settle SEC charges
10 Dec 2024, 12:43 pm by Associated Press
Morgan Stanley Smith Barney will pay a $15 million penalty as part of a settlement with the Securities [read post]
On the Record - http://thedailyrecord.com/ontherecord/
Jarkesy’s impact on health care penalties
24 Feb 2025, 12:33 pm by Commentary:
Jarkesy, the Securities and Exchange Commission brought legal action against George Jarkesy, seeking [read post]
On the Record - http://thedailyrecord.com/ontherecord/
SEC Sends Individuals a Strong Reminder About Complying with FCPA.
15 Jan 2015, 12:26 pm by Morse, Barnes-Brown Pendleton
By: Mark Tarallo  The Securities and Exchange Commission (“SEC”) is charged with enforcing [read post]
MBBP's Good Company - http://blogmbbp.wordpress.com
Opening Remarks at Investor Advisory Committee
13 Oct 2014, 6:00 am by Mary Jo White, Chair, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirement
25 Jun 2025, 2:50 pm by Mark Astarita
The Securities and Exchange Commission today voted to extend the compliance date to June 30, 2026, for [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Commissioner Hester Peirce Announces Crypto Task Force Staff
3 Mar 2025, 3:20 pm by Mark Astarita
The Securities and Exchange Commission today announced the members of the Crypto Task Force staff, which [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Acting Chairman Mark T. Uyeda Names Acting Senior Staff
24 Jan 2025, 8:10 am by Mark Astarita
The Securities and Exchange Commission today announced Acting Chairman Mark T. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC and CFTC Staff Issue Joint Statement On Trading Of Certain Spot Crypto Asset Products
2 Sep 2025, 1:20 pm by Mark Astarita
Staff of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Paul Tzur and David Morrell Named Deputy Directors of the Division of Enforcement
12 Jan 2026, 12:05 pm by Mark Astarita
The Securities and Exchange Commission today announced that Paul H. Tzur and David M. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Promoting Investor Protection in Small Business Capital Formation
4 Jan 2014, 6:00 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Awards More Than $2.2 Million to Whistleblower Who Initially Reported Information to a Different Federal Agency
6 Apr 2018, 7:51 am by Silver Law Group
The Securities and Exchange Commission (the “SEC”) announced that it was awarding a whistleblower [read post]
SEC Whistleblower Lawyer Blog - http://www.secwhistleblowerlawyers.net/