21,175 results found

On May 6, 2015, the US Securities and Exchange Commission approved a proposal by the national securities exchanges and the US Financial Industry Regulatory Authority regarding a two-year pilot program...

As previously reported, on March 21, 2022, the U.S. Securities and Exchange Commission ("SEC") proposed amendments to Regulations S-K and S-X that would require registrants to provide...

On November 21, 2016, the SEC announced that Matthew C. Solomon, the Chief Litigation Counsel for the SEC's Enforcement Division, will leave the SEC early December 2016.

On November 21, 2016, the SEC announced that Stephen Luparello, Director of the Division of Trading and Markets, will leave the SEC by the beginning of 2017.

Michael is the co-chair of our Technology Practice and has been closely following these regulations since the JOBS Act was enacted in April 2012.

On this episode of Kelley Drye's Legal Download, Senior Associate Courtney Kleshinski and Special Counsel Shanin Farmer will discuss NASDAQ's Diversity Proposal, approved by the SEC in August 2021...

Jane Norberg, partner in the firm's Securities & Enforcement practice and former Chief of the SEC's Office of the Whistleblower, offers new considerations for the "Social" aspects of ESG.

John's post reminded me of my own post about six years ago questioning whether the SEC was confused about who solicits proxies.

The many California laws are intended to protect borrowers. The California Financing Law, for example, provides that it is to be liberally construed to, among other things, "protect borrowers against unfair practices by some lenders, having due regard for the interests of legitimate and scrupulous lenders".

Are you facing parallel investigations by both the SEC and the DOJ? When a civil regulatory inquiry by the Securities and Exchange Commission transforms into a concurrent federal criminal investigation by the Department of Justice, your defense strategy must adapt to address this dual exposure.

Corporate FCPA enforcement normalized in the second year of the Trump Administration, after a low number of corporate resolutions in 2017.

On February 6, a jury in the United States District Court for the Middle District of Florida found the CEO of the now-defunct Radius Capital Corp., Robert A. DiGiorgio, knowingly or recklessly made false or misleading statements.

Over the last two years, enforcement of the Foreign Corrupt Practices Act ("FCPA") has remained a priority of the U.S. Department of Justice and Securities and Exchange Commission. That emphasis is likely to continue through 2014 and beyond. Companies should expect the federal government and, increasingly, foreign authorities to continue to devote significant resources to investigating and punishing FCPA violations.

The SEC fined a technology company $180,000 for violating whistleblower protection rules.

Akin Gump has issued an alert detailing the protections for whistleblowers for securities violations in Dodd-Frank that expand only to employees who report violations to the SEC.

Last month, the U.S. Supreme Court decided Securities & Exchange Commission v. Jarkesy, No. 22-859, holding that the SEC cannot assess civil penalties for securities fraud through an administrative tribunal.

On June 11, 2015, the Committee on Payments and Market Infrastructures and the International Organization of Securities Commissions published the second report on Level 1 assessments...