Regulation
Supreme Court Rules SEC In-House Judge Process Is Unconstitutional
Decision upholds defendants’ rights to a jury trial when civil penalties are imposed.
Tag: SEC
Former Allianz Global Investors CIO Pleads Guilty to Fraud
Gregoire Tournant allegedly lied to investors and distributed altered risk reports.
Regulation
Appeals Court Vacates SEC’s Private Fund Adviser Rule
The court ruled that the SEC lacked the authority to regulate private fund advisers' relationship with investors.
Regulation
Intercontinental Exchange Fined $10M for Failing to Inform SEC of Cyber Intrusion
The NYSE’s parent company allegedly waited four days before telling nine subsidiaries of the 2021 network breach.
Regulation
Crypto Regulation Bill Passes House
The bill aims to divide digital asset oversight between CFTC and SEC.
Regulation
SEC to Start T+1 Settlement Next Week
Securities transactions will have to settled by the following business day.
Regulation
SEC Finalizes Reg S-P Data Security Rule
Covered parties must inform customers of a data breach within 30 days.
Regulation
Financial Services Committee Targets SEC Enforcement Activity
Pending legislation would limit the authority of the SEC’s administrative courts and redefine 'violation' in the securities laws.
Regulation
Supreme Court Rules Investors Cannot Sue for Omissions in Disclosures
The ruling still permits the SEC to take enforcement actions.
Regulation
Scope 3 Disclosure Might be Required for Companies With Climate Goals
Attorneys warn of additional compliance needs in testimony to the House Financial Services Committee.
Regulation
SEC Seeks Institutional Investor Reps for Advisory Committee
The independent committee needs representatives of pensions and mutual funds to bolster investor protection.
Regulation
CalSTRS Focuses on Curbing Methane in 2024 Proxy Season
The giant pension fund has a history of pushing for environment-oriented goals.
Regulation
House Republicans Propose 13 Bills to Reform SEC
The legislation would require more economic analysis and longer comment periods.
Regulation
Private Funds Trade Groups Challenge New SEC Dealer Rule
The rule, finalized in February, would require private funds trading large blocks of government securities to register as dealers.
Regulation
SEC Climate Rule Put on Hold
The U.S. 5th Circuit Court of Appeals delayed implementation of the rule, pending further review.