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Comments On Proposed Changes To Sec Whistleblower Rules Highlight Challenges - Latest News


SEC Releases Long-Awaited Rules on Crowdfunding

The rules were delayed by leadership changes at the SEC and ... Equity Crowdfunding Here is a rundown of the key highlights of the proposed regulations. These rules still have to be made final and ... read more

How To Approach The New Anti-Human Trafficking Rule

[3] Comments from the public ... a contracting officer to do so. These changes highlight the government’s heightened sensitivity to and awareness of the issue of trafficking and federal contracts. The ... read more

Securities and Corporate Governance Update – March 2019

It does not appear that the staff of the SEC had preceded the enforcement action with any comment ... following are highlights of what we have picked up from those early lessons and anecdotes. In ... read more

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The Ins and Outs of the Borrower Defense Rule

After months of negotiations and thousands of public comments ... other provisions of the borrower defense rule; and had great opposition from institutions, including HBCUs, community colleges, and ... read more


Investment Services Regulatory Update - May 2019

On May 23, 2019, the SEC’s Office ... Firms to change their behavior. FINRA also proposed new Rule 9559, which would provide a check and balance to Rule 4111 by establishing a proceeding that would ... read more

The SEC’s Plan to Pry Open Corporate Boards May Face Challenge

If the SEC approves the proposed rules, as shareholder groups expect ... to review the forthcoming SEC rules for a potential legal challenge. “We will wait for the SEC to move forward and see what our ... read more

Businesses criticize whistleblower reward plan

The SEC is translating the law’s general directives into detailed rules. It issued a draft for public comment late last year and, after a delay, it is set to vote on a final version Wednesday. The ... read more

Podcast: Fundamental Changes To The U.S. Retirement System

Ahead on this episode, landmark changes to the US retirement ... that the SEC probably did a good job of sort of getting it right if there are comments going on both sides. We don't know what the ... read more

CVS execs promote proposed Aetna merger as cost saver

The two huge deals highlight ... The comments to investors shed some light on how they plan to execute on that vision. CVS CEO Larry Merlo and CFO David Denton also weighed in on the controversy over ... read more

Be a whistleblower and win a fistful of dollars

Now the SEC wants to improve its incentives for the whistleblower programme. Under the proposals, which are open for public comment, the commission could ... or even to communicate with the commission ... read more

JOBS Act Title III: Investment Being Democratized, Moving Online

Title III will begin to disrupt the entrepreneurial capital market in a more fundamental way, bringing change to the ... Crowdfunding Rulings The SEC put our their proposed rules for Title III this ... read more

Change Is Coming To The Retirement Landscape

We think the big takeaway is "Change is coming." It's no longer a question ... subject to appropriate safeguards. With the proposed ARP language out for comment with a deadline of December 23, we ... read more



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