On February 6, 2024, the SEC adopted rules to greatly expand the Exchange Act definitions of "dealer" and "government securities dealer" by further defining the phrase "as a part of a regular business."
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges.
Securities and Exchange Commission in the New Year natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.
Clawback Rules. As previously discussed in last Winter’s Corporate Communicator, the Securities and Exchange Commission (“SEC") adopted final rules in October 2022 directing the NYSE.
Companies in Chapter 11 must publicly report substantial financial information indeed, more information should be reported or available publicly in Chapter 11 than outside of Chapter.