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SEC Monitoring Impact of Hurricanes Ian and Fiona on Capital Markets Read the Full Press Release What Are Dividend Stocks? SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures Read the Full Press Release SEC Charges Oracle a Second Time for Violations of the Foreign Corrupt Practices Act Read the Full Press Release Office of the Investor Advocate Releases Research Study on Fund Performance Benchmarks Read the Full Press Release SEC Investor Advisory Committee to Discuss Human Capital Labor Valuation, Security-Based Swaps, Beneficial Ownership, and ESG Disclosure on Sept. 21 Read the Full Press Release SEC Charges Compass Minerals for Misleading Investors about Its Operations at World’s Largest Underground Salt Mine Read the Full Press Release SEC Charges Compass Minerals for Misleading Investors about Its Operations at World’s Largest Underground Salt Mine Read the Full Press Release Boeing to Pay $200 Million to Settle SEC Charges that it Misled Investors about the 737 MAX Read the Full Press Release Boeing to Pay $200 Million to Settle SEC Charges that it Misled Investors about the 737 MAX Read the Full Press Release
Category Archives: Investor
SEC Monitoring Impact of Hurricanes Ian and Fiona on Capital Markets
SEC Chair Gary Gensler has directed the staff to carefully monitor developments as a result of Hurricanes Ian and Fiona. While the safety of local residents is the highest priority, the SEC invites inquiries from any person with obligations under the…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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What Are Dividend Stocks?
Dividend stocks are securities that include a regular distribution of the issuing company’s earnings.
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SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
The Securities and Exchange Commission today announced charges against 15 broker-dealers and one affiliated investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications.…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Charges Oracle a Second Time for Violations of the Foreign Corrupt Practices Act
The Securities and Exchange Commission announced settled charges requiring Oracle Corporation to pay more than $23 million to resolve charges that it violated provisions of the Foreign Corrupt Practices Act (FCPA) when subsidiaries in Turkey, the United…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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Office of the Investor Advocate Releases Research Study on Fund Performance Benchmarks
Researchers from the SEC’s Office of the Investor Advocate (OIAD) released an independent research study examining the impact of mutual fund performance benchmarks on investor decision-making, and potential strategic behavior by firms in displaying…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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https://seclaw.blogspot.com/2022/09/office-of-investor-advocate-releases.html
SEC Investor Advisory Committee to Discuss Human Capital Labor Valuation, Security-Based Swaps, Beneficial Ownership, and ESG Disclosure on Sept. 21
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 21 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host four panels to discuss: Human…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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https://seclaw.blogspot.com/2022/09/sec-investor-advisory-committee-to.html
SEC Charges Compass Minerals for Misleading Investors about Its Operations at World’s Largest Underground Salt Mine
The Securities and Exchange Commission today announced settled charges against Compass Minerals International Inc. for misleading investors about a technology upgrade that the company claimed would reduce costs at its most significant mine, but in…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#finralawyer
https://seclaw.blogspot.com/2022/09/sec-charges-compass-minerals-for.html
SEC Charges Compass Minerals for Misleading Investors about Its Operations at World’s Largest Underground Salt Mine
The Securities and Exchange Commission today announced settled charges against Compass Minerals International Inc. for misleading investors about a technology upgrade that the company claimed would reduce costs at its most significant mine, but in…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#finralawyer
https://seclaw.blogspot.com/2022/09/sec-charges-compass-minerals-for.html
Boeing to Pay $200 Million to Settle SEC Charges that it Misled Investors about the 737 MAX
The Securities and Exchange Commission today charged The Boeing Company and its former CEO, Dennis A. Muilenburg, with making materially misleading public statements following crashes of Boeing airplanes in 2018 and 2019. The crashes involved Boeing’s…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#securitiesattorney
https://seclaw.blogspot.com/2022/09/boeing-to-pay-200-million-to-settle-sec.html
Boeing to Pay $200 Million to Settle SEC Charges that it Misled Investors about the 737 MAX
The Securities and Exchange Commission today charged The Boeing Company and its former CEO, Dennis A. Muilenburg, with making materially misleading public statements following crashes of Boeing airplanes in 2018 and 2019. The crashes involved Boeing’s…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#seclaw
https://seclaw.blogspot.com/2022/09/boeing-to-pay-200-million-to-settle-sec.html