Tags » Securities Exchange Commission

The bid for Avon that apparently was not

NEW YORK (AP) — An apparently bogus offer to take over Avon Products that appeared on a regulatory website sent its stock on a wild ride Thursday and raised questions about the security of the online service, a trusted source of news for investors. 687 more words

News

SEC Rules, Stakeholder Interests, and Cost-Benefit Analysis

The D.C. Circuit’s 2011 decision in Business Roundtable v. SEC , 647 F.3d 1144 (D.C. Cir. 2011) spawned a lot of debate regarding the value of cost-benefit analysis in financial regulation. 1,128 more words

Securities Regulation

Orrick discusses In re Polycom and the SEC’s Continued Focus on Internal Controls

Over the past year, the SEC and other regulatory agencies have initiated an increasing number of investigations into companies based on allegations of inadequate internal controls and/or a system for reporting those controls. 586 more words

Securities Regulation

Investors pressure oil companies to disclose climate change risk

Investors seek more disclosure
A group of investors representing $1.9 trillion in investments asked regulators last week to force oil and gas companies to provide more disclosures about climate-related risks to their businesses. 589 more words

Fracking Information

Two Audiences, Two Stories: Comparing What Companies Tell Regulators With What They Tell Investors

In 2010, the Securities and Exchange Commission (SEC) issued guidance that requires companies to tell shareholders how they may be harmed by proposed energy regulations, unless the company determines that the regulation will be unlikely to affect the company. 913 more words

Securities Regulation

Morgan Lewis discusses SEC Consideration of Active ETF Listing Standards, Approval of Paired Class ETP

Two recent developments could have significant consequences for the exchange-traded fund (ETF) industry and the regulatory landscape for such products. The first development is a proposed rule change to create “generic listing standards” for actively managed ETFs. 3,772 more words

Securities Regulation

Latham & Watkins explains how SEC Sent Message Via Enforcement Action: Don’t Stifle Employee Whistleblowing

On April 1, 2015, the US Securities and Exchange Commission filed its first whistleblower protection case involving confidentiality obligations imposed on employees.[1] The SEC charged Houston-based technology and engineering firm KBR Inc. 505 more words

Securities Regulation