Too often regulators get bogged down in the minutiae of prescriptive laws and miss their core intent, says Teresa Goody ...

On December 11, 2024, the US Court of Appeals for the Fifth Circuit ruled that the Securities and Exchange Commission (SEC) lacked statutory authority to approve Nasdaq’s board diversity rules.

The Securities and Exchange Commission (the “SEC”) recently adopted Rule 13f-2 and Form SHO under the Securities Exchange Act ...

Reviewed by JeFreda R. Brown Investors, particularly individual investors, buy, sell, and trade stocks with a certain sense ...

Key issues to consider before entering into a settlement with a securities regulator, including the scope of the regulators’ ...

More fundamentally, Bitnomial argues that it "cannot possibly comply with the [Securities Exchange Act of 1934's] requirements to list XRP Futures," which require the issuer of the underlying ...

of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder by the U.S. Securities and Exchange Commission. Investors who purchased the Company's securities between February 29 ...

of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder by the U.S. Securities and Exchange Commission. Investors who purchased the Company's securities between February 29 ...

These transactions were conducted under a pre-established trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, which allows company insiders to set up a trading plan for ...