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The Securities and Exchange Commission today re-proposed rule amendments that would narrow the exemption from Section 15(b)(8) of the Securities Exchange Act, which requires any broker or dealer registered with the Commission to become a member of a… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today released a report to Congress, which summarizes policy recommendations made during the 41st Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today filed insider trading charges against Stephen Buyer, a former U.S. Representative for Indiana’s 4th Congressional District. According to the SEC’s complaint, after leaving Congress in 2011, Buyer formed a… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today filed insider trading charges against nine individuals in connection with three separate alleged schemes that together yielded more than $6.8 million in ill-gotten gains. Those charged include a former chief… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Planning for Women’s Retirement The Securities and Exchange Commission today announced awards totaling more than $6 million to two whistleblowers who provided critical information and assistance in two separate covered actions. In the first order, the SEC issued an award of more than… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Our main site, www.seclaw.com, is currently undergoing maintenance and will be back online on Monday, July 18. We are redirecting the site here, to our blog. The Securities and Exchange Commission today proposed amendments to the rule that governs the process for including shareholder proposals in a company’s proxy statement. Under Rule 14a-8, companies generally must include shareholder proposals in their… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced that Tracy S. Combs has been named Director of the Salt Lake Regional Office. Tanya Beard, who has served as Acting Director since January 2022, remains as Assistant Regional Director of Enforcement… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced that Kurt L. Gottschall, the Director of the Denver Regional Office since 2018, is leaving the agency after more than 22 years of service. Jason J. Burt and Thomas M. Piccone will become the office’s… Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Re-Proposes Amendments to Exemption From National Securities Association Membership
New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising
SEC Charges Former Indiana Congressman with Insider Trading
SEC Files Multiple Insider Trading Actions Originating from the Market Abuse Unit’s Analysis and Detection Center
Planning for Women’s Retirement
From Totus Wealth:
According to our statistics, women’s retirement looks slightly different than retirement for men. This could be due to a number of reasons from unequal pay to the higher likeliness of women staying home as caregivers. Although these…
SEC Awards Whistleblowers More Than $6 Million
SECLaw.com Site Maintenance
SEC Proposes Amendments to Shareholder Proposal Rule
Tracy S. Combs Named Director of SEC’s Salt Lake Regional Office
Denver Regional Director Kurt L. Gottschall to Leave SEC