Gurbir Grewal, the recently-appointed Director of the Securities and Exchange Commission’s Division of Enforcement, comes from a law enforcement background. Before joining the SEC, he served as New Jersey Attorney General,...more
What happened -
Last week the SEC brought securities fraud charges against App Annie and its co-founder and former CEO and Chairman Bertrand Schmitt for engaging in deceptive practices and making material...more
Gary Gensler was sworn in as chair of the Securities and Exchange Commission on April 17, 2021. Chairman Gensler has promised to strengthen transparency and accountability in the financial markets. Under Chairman Gensler, we...more
7/29/2021
/ 10b5-1 Plans ,
Civil Monetary Penalty ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Gary Gensler ,
Initial Public Offering (IPO) ,
Insider Trading ,
Investors ,
Popular ,
Private Investment in Public Equity (PIPEs) ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Special Purpose Acquisition Companies (SPACs) ,
Whistleblowers
What happened The SEC recently brought charges against AT&T and three mid-level executives for selectively providing information to Wall Street analysts in alleged violation of Regulation Fair Disclosure (Reg FD). According...more
On March 27, 2018, Massachusetts' top securities regulator – the Massachusetts Securities Division (the Division) – propelled itself to the forefront of the ongoing debate about whether "initial coin offerings" (ICOs) should...more