21,177 results found

Chief Information Officer Pamela C. Dyson will leave the SEC to join the Federal Reserve Bank of New York as executive vice president ...

A senior SEC enforcement official said companies withholding information about data breaches could face civil and criminal enforcement actions.

The SEC Division of Corporation Finance granted no-action relief from Securities Exchange Act Rule 14e-5 requirements to a managed ETF in connection with the creation and redemption of units.

SEC Division of Trading and Markets ("Division") Senior Policy Adviser Gary Goldsholle will leave the agency on October 12, 2018.

We are pleased to present our annual mid-year update on financial reporting and issuer disclosure enforcement activity for 2019.

We are pleased to present our latest update on financial reporting and issuer disclosure enforcement activity. This White Paper primarily focuses on the U.S. Securities and Exchange Commission's...

SEC Exempts Two ETFs from Tender Offer Requirements.

The Securities and Exchange Commission remains keenly focused on whether confidentiality provisions in corporate agreements, particularly severance agreements, can impede whistleblower reporting of potential legal violations to the SEC or other government agencies.

The SEC Division of Corporation Finance Office of Mergers and Acquisitions granted no-action relief to an exchange-traded fund ("ETF") from requirements under SEA Rule 14e-5

The SEC Division of Market Regulation granted no-action relief to two ETFs related to creation and redemption transactions.

The SEC Division of Corporate Finance granted no-action relief to technology company Yahoo! Inc. ("Yahoo") from tender offer requirements under Exchange Act Rules 13e-4(d)(1), 13e-4(e)(3)...

The SEC Division of Corporate Finance (the "Division") granted no-action relief allowing a company's common stock to be issued as part of a class action ...

The SEC Division of Trading and Markets granted FINRA and numerous exchanges, including BATS, Nasdaq and the NYSE an exemption from certain provisions of the National Market System Plan...

On October 27, 2015, the SEC issued new Compliance and Disclosure Interpretations (the 2015 C&DIs) regarding unbundling of votes in the M&A context.

Earlier this week, the SEC’s Office of Investor Education issued an Investor Alert that highlights some of the warning signs for investors that an unregistered offering may be an investment scam.

In an Investor Bulletin, the SEC Office of Investor Education and Advocacy ("OIEA") explained that an American Depository Receipt ("ADR") is a "security that represents shares of non-U.S. companies...

On January 10, the SEC announced that its Office of Municipal Securities has issued interpretive guidance to address questions from market participants regarding the implementation of new final SEC rules requiring municipal advisors to register with the SEC.

The SEC issued an order staying the effective date for compliance with portions of Exchange Act Rule 13p-1 and Form SD.