On 3 April 2024 the SEC announced the first off-channel communications settlement with a registered investment adviser who was not otherwise affiliated with a broker-dealer. This settlement provides new insight into how the SEC views... Read more »
Commonwealth Financial Network Must Pay $72 Million in SEC Enforcement Action Source link Read more »
On September 23, 2020, the U.S. Securities and Exchange Commission (SEC) issued its final rules adopting several amendments to its whistleblower program rules, which were part of its 2018 notice of proposed... Read more »
Today, the Fifth Circuit Court of Appeals issued an administrative stay of the SEC’s recent climate disclosure rule, which was issued last Wednesday, March 6, 2024. The unpublished order by a three... Read more »
The Securities & Exchange Commission (“SEC”) issued its long-awaited final rule concerning climate disclosures, entitled “The Enhancement and Standardization of Climate-Related Disclosures for Investors” (“Climate Disclosure Rule”), on March 6, 2024. This... Read more »
Go-To Guide: SEC adopts comprehensive climate-related disclosure rules for public companies in their registration statements and periodic reports. Compliance dates phased in by registrant status, beginning as early as fiscal year 2025.... Read more »
BRIEF OVERVIEW On 8 February 2024, the US Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly adopted amendments to Form PF (the Amendments), the confidential reporting form for certain... Read more »
The Blockchain Bi-Weekly presented by the Polsinelli Blockchain+ team is a rundown of some of the key stories in the Web3, blockchain and crypto ecosystems curated by our attorneys navigating the intersections... Read more »
On February 7, a Florida-based cryptocurrency company agreed to settle charges brought by the SEC and the California Department of Financial Protection and Innovation alleging that, an interest-earning feature offered on the... Read more »
On January 24, 2024, the U.S. Securities and Exchange Commission (SEC) adopted final rules (the “Final Rules”) related to special purpose acquisition companies (SPACs) and de-SPAC transactions.[1] The Final Rules are intended to provide... Read more »