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  • Article

    SEC Awards Over $2.1 Million To Whistleblower

    The SEC awarded more than $2.1 million to a whistleblower who provided information that resulted in "multiple successful enforcement actions."
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Awards Second Largest Whistleblower Award

    The SEC awarded more than $54 million to two whistleblowers for providing critical information that resulted in an enforcement action.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
Article

SEC Awards Whistleblower Over $1 Million

The SEC awarded more than $1 million to a whistleblower for reporting "new information and substantial corroborating documentation" regarding a securities violation that impacted retail investors.
United StatesCorporate/Commercial Law
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
  • Article

    SEC Awards Whistleblowers Over $450,000 For Tips In Corporate Accounting Investigation

    The SEC will reward more than $450,000 to two individuals for tips that led the SEC to open a corporate accounting investigation.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Chair Mary Jo White Announces Departure Plans

    Today the Securities and Exchange Commission issued a press release noting that Chair White intends to leave her post at the end of the Obama Administration.
    United StatesCorporate/Commercial Law
    Morrison Foerster
    Morrison Foerster
  • Article

    SEC Chair Outlines Work Undertaken To Address Market Instability And High Frequency Trading

    U.S. SEC Chair Mary Jo White set out a number of initiatives being undertaken by the SEC to address five broad areas of concern.
    United StatesCorporate/Commercial Law
    Stikeman Elliott LLP
    Stikeman Elliott LLP
  • Article

    SEC Chair To Step Down: Path Cleared For Deregulation

    The latest post-election domino has fallen. Mary Jo White, the chair of the Securities and Exchange Commission, will step down at the end of the Obama administration.
    United StatesCorporate/Commercial Law
    Fox Rothschild LLP
    Fox Rothschild LLP
  • Article

    SEC Charges Businessman With Misusing EB-5 Investments For Personal Gain

    The SEC charged Thomas M. Henderson and his company with misusing funds raised from investors through the EB-5 immigrant investor program.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Charges ICO Promoters With Defrauding Investors

    On September 29, the SEC brought its first enforcement action in connection with an initial coin offering.
    United StatesCorporate/Commercial Law
    Jones Day
    Jones Day
  • Article

    SEC Charges Traders With Fraud For Trading On Hacked Nonpublic Information

    The SEC charged three Chinese traders with fraud for allegedly hacking "nonpublic market-moving information" from two prominent New York-based law firms.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Chief Operating Officer To Leave Agency In February

    SEC Chief Operating Officer ("COO") Jeffery Heslop will leave the agency in February. Mr. Heslop was the first ever COO of the SEC.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Codifies Exemption To Rating Agency Disclosure Obligations

    The final rule will become effective 30 days after publication in the Federal Register.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Commissioner Criticizes Morality-Based Regulation Of Corporations

    In her remarks, Ms. Peirce referenced a bill recently passed in California that would regulate the gender composition of corporate boards.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Commissioner Daniel Gallagher To Leave Post By Oct. 2

    Republican SEC commissioner Daniel Gallagher, who submitted his resignation letter to the White House in May, said he won't stay on at the agency past Oct. 2.
    United StatesCorporate/Commercial Law
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    SEC Commissioner Peirce Advocates For Longer Rulemaking Comment Periods

    In a statement in support of longer comment periods during the rulemaking process, SEC Commissioner Hester M. Peirce explained that an open dialogue with the public is crucial to effective rulemaking.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    SEC Declares Ether Is Not A Security

    The SEC has formally announced that Ether is not a security.
    United StatesCorporate/Commercial Law
    Sheppard
    Sheppard
  • Article

    SEC Decreases Fee Rates For Fiscal 2021, Which Begins October 1, 2020

    Today, the SEC announced that it was reducing the fees it charges issuers to register their securities. In fiscal 2021, the fee rates for registration of securities and certain other transactions...
    United StatesCorporate/Commercial Law
    Cooley LLP
    Cooley LLP
  • Article

    SEC Decreases Fee Rates For Fiscal 2022, Which Begins October 1, 2021

    Today, the SEC announced that it was reducing the fees it charges issuers to register their securities. In fiscal 2022, the fee rates for registration of securities...
    United StatesCorporate/Commercial Law
    Cooley LLP
    Cooley LLP
  • Article

    SEC Denies Motion To Stay Regulation A+

    On June 5, 2015, Monica J. Lindeen, Montana State Auditor, ex officio Commissioner of Securities and Insurance, filed a motion with the SEC for a stay of the Regulation A+ rules.
    United StatesCorporate/Commercial Law
    Morrison Foerster
    Morrison Foerster
  • Article

    SEC Designates Indian Stock Exchange As "Offshore Securities Market"

    SEC Designates Indian Stock Exchange as Offshore Securities Market.
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Showing 381–400 of 21175 results

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