Category: Securities & SEC

SEC Proposes Safeguarding Rule Amending Custody Rule

SEC Presents Three New Cybersecurity Rule Ideas

New Law Rewarding Whistleblowers May Lead to Substantial Increase in Whistleblower Claims

It’s going to be a big year for FINRA

SEC Obtains Court Judgment Against Unregistered Municipal Advisors

DOJ Files FCA Against Major Pharmacy Retailer on the Basis of Allegations of Violations under Controlled Substances Act

United States: SEC proposes amendments to Regulation S-P to expand its scope in response to digital communications and risks to customer personal information

The Highly Successful SEC Whistleblower Program is Bolstered by a Bipartisan Bill

SEC Commissioner Uyeda suggests that ESG disclosures contribute to a decline in IPOs

SEC Proposes Replacing Its Regulations Under the Federal Privacy Act

SEC Charges Software Company for Downplaying Scope of Ransomware Attack in Public Disclosures

Second Circuit Limits Use of Confidential Government Agency Information as Basis for Securities Fraud Prosecutions