Tag: SEC

Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering
Christine Harbster September 20, 2022
SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule
Christine Harbster September 14, 2022
SEC Proposes Rules to Improve Risk Management in Clearance and Settlement and to Facilitate Additional Central Clearing for the U.S. Treasury Market
Christine Harbster September 14, 2022
Green Exchange To Create First Dedicated “Green” Equities Exchange in the United States
ESG News September 14, 2022
SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both
Christine Harbster September 9, 2022
SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees
Christine Harbster September 2, 2022
SEC Proposes to Enhance Private Fund Reporting
Christine Harbster August 10, 2022
SEC Small Business Advisory Committee to Discuss Liquidity Challenges for Investors in Small and Emerging Businesses
Christine Harbster July 28, 2022
SEC Charges Tampa-Based Health Insurance Distributor and its Former CEO with Making False Statements to Investors
Christine Harbster July 20, 2022
SEC Proposes Amendments to Shareholder Proposal Rule
Christine Harbster July 14, 2022
SEC Adopts Amendments to Proxy Rules Governing Proxy Voting Advice
Christine Harbster July 14, 2022
Benchmark Supports the SEC Proposed Corporate Climate Risk Disclosure Rule
ESG News July 11, 2022
SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers
Christine Harbster June 24, 2022
SEC Proposes Regulations to Address ESG Label
ESG News June 17, 2022
New report helps companies and investors make sense of proposed climate disclosure standards
Noelle Henry June 9, 2022
SEC Investor Advisory Committee to Discuss Non-Traditional Accounting and Climate Disclosure on June 9
Christine Harbster June 7, 2022
SEC Updates Electronic Filing Requirements
Christine Harbster June 3, 2022
Deutsche Bank, DWS Offices in Frankfurt Searched Over Greenwashing Claims
ESG News May 31, 2022
U.S. SEC rules to prevent misleading ESG Funds claims forcing follow through on investments
ESG News May 25, 2022
Wolters Kluwer ESG Expert Provides Analysis on SEC’s Historic Proposed Disclosure Rules on Climate Change
ESG News May 16, 2022