Tags » Securities Exchange Commission

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

Wachtell Lipton discusses SEC Charging Schedule 13D Filers for Failing to Timely Disclose Steps Taken to Pursue Going-Private Transactions

The Securities and Exchange Commission announced that it had charged eight directors, officers and major stockholders for failing to timely disclose steps taken to take their respective companies private in their beneficial ownership reports on Schedule 13D.  490 more words

Securities Regulation

Yahoo's $40 billion spin-off is a raw deal for Alibaba—at least for now

Alibaba’s top executives didn’t know about Yahoo’s plans to spin-off its $40 billion stake until it was made public yesterday, say two people briefed on the situation, leaving the Chinese online giant scrambling to respond—especially since its own quarterly earnings are due out tomorrow. 494 more words

Kennedy says former company cooperating with SEC

HARTFORD, Conn. (AP) — Ted Kennedy Jr. says his former company is cooperating fully in an SEC investigation into allegations of insider trading.

The Marwood Group, a health care-focused consulting firm co-founded by Kennedy, received notice from the Securities and Exchange Commission this week that the agency’s staff plans to recommend charging the company with civil insider trading, Fox Business Network reported Tuesday. 308 more words