Tag: SEC

December 26, 2023

Over the past year, we have seen the various agencies and branches of government issue a slew of rules, guidance, and directives over the use (and misuse) of Artificial Intelligence (AI). In May, the EEOC issued guidance on the use […]

July 25, 2022

The Securities and Exchange Commission on Thursday announced insider trading charges against former Coinbase employee Ishan Wahi, as well as his brother, Nikhil Wahi, and his friend, Sameer Ramani. Also on Thursday, the Department of Justice announced the unsealing of an indictment with charges for wire […]

June 27, 2022

Understanding Threshold Lists In January 2005, the SEC implemented Regulation SHO to reduce the abuse of naked short selling, where the seller does not borrow or arrange to borrow the securities in time to make delivery to the buyer within […]

January 4, 2022

What Is a Yield? Yield refers to the earnings generated and realized on an investment over a particular period of time. It’s expressed as a percentage based on the invested amount, current market value, or face value of the security. […]

May 13, 2021

A rolling settlement is the process of settling security trades on successive dates based upon the specific date when the original trade was made so that trades executed today will have a settlement date one business day later than trades […]

April 16, 2021

Definition of Best-Price Rule (Rule 14D-10) Best-price rule (Rule 14D-10) is a regulation by the Securities and Exchange Commission (SEC) that stipulates that consideration offered to any security holder in a tender offer must be equal to the highest consideration […]

February 10, 2021

The newly minted Biden administration is expected to reverse course on a series of Trump-era rules, including from the U.S. Securities and Exchange Commission. The nomination of former Commodity Futures Trading Commission Chairman Gary Gensler to serve as the next […]

March 18, 2016

Mark May 16, 2016, on your calendar. That’s the day that U.S. securities law will experience one of the biggest changes since the Securities Act of 1933. On May 16th, the S.E.C.’s “Regulation Crowdfunding” final rules go into effect, allowing […]