Posts Tagged ‘Securities and Exchange Commission’
SEC Issues New Cybersecurity Rule, In Effect For December 31st Year End Companies
On July 26, 2023, the Securities and Exchange Commission issued the Final Rule on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure (the “Cybersecurity Rule”). The Cybersecurity Rule requires public companies to disclose both material cybersecurity incidents they experience and, on an annual basis, material information regarding their cybersecurity risk management, strategy, and governance. Companies…
Read MoreThe IPO: Form S-1 vs. Form F-1
Preparing for an initial public offering (IPO) is a complex process that requires careful planning and execution. One of the key components of an IPO is filing a registration statement with the Securities and Exchange Commission (SEC). There are two types of registration statements that companies can file: Form S-1 and Form F-1. In this…
Read More“Regulation Best Interest” Is Nearly Here. What Regulators Want to See. What Broker-Dealers Need to Know and Do.
On June 5, 2019, the United States Securities and Exchange Commission (“Commission”) adopted Rule 15l-1 (“Regulation Best Interest” or “Reg. BI”) under the Securities Exchange Act of 1934 (“Exchange Act”), which has a compliance date of June 30, 2020.[1] What broker-dealers and their compliance and supervisory personnel need to know and do to prepare for July…
Read MoreWhistleblower Earns $3.5 Million Award for Bolstering Ongoing Investigation
The Securities and Exchange Commission today announced a whistleblower award of more than $3.5 million to a company employee whose tip bolstered an ongoing investigation with additional evidence of wrongdoing that strengthened the SEC’s case. The SEC noted that whistleblowers should be encouraged to come forward and report allegations of potential securities laws violations even…
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