The Securities and Exchange Commission today announced insider trading charges against Roy Cook, a former board member of Tallgrass Energy LP, and four of his friends for trading on material nonpublic information in advance of a public announcement that… SEC Press Release
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SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors
The Securities and Exchange Commission today adopted rules to enhance and standardize climate-related disclosures by public companies and in public offerings. The final rules reflect the Commission’s efforts to respond to investors’ demand for more… SEC Press Release
SEC Charges Husband of Energy Company Manager with Insider Trading
Spouse purchased stock using non-public information about planned merger Feb. 22, 2024 — The Securities and Exchange Commission today charged Tyler Loudon of Houston, Texas, with insider trading ahead of a February 2023 announcement that London-based oil and gas company BP p.l.c. agreed to acquire TravelCenters of America Inc., a […]
SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
The Securities and Exchange Commission’s Office of Credit Ratings published its annual Staff Report to Congress today on Nationally Recognized Statistical Rating Organizations (NRSROs), commonly known as credit rating agencies, to provide findings… SEC Press Release
SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers
The Securities and Exchange Commission today announced that registered broker-dealer TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), will pay more than $2.… SEC Press Release
SEC Charges Founder of American Bitcoin Academy Online Crypto Course with Fraud Targeting Students
The Securities and Exchange Commission (SEC) has stepped forward to address a notable issue. This situation serves as a stark warning for students and investors about the risks of navigating the complex and often murky waters of digital currency investments. The Rise and Fall of a Crypto Education Venture Unveiling […]
SEC Charges Northern Star SPAC for Material Misrepresentations in its IPO-Related Disclosures
SEO Title: SEC Charges Northern Star SPAC for Misleading IPO Disclosures Introduction In a significant development, the Securities and Exchange Commission (SEC) has taken action against Northern Star Investment Corp. II, a special purpose acquisition company (SPAC), for alleged material misrepresentations in its initial public offering (IPO) disclosures dating back […]
SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections
Washington D.C., Jan. 24, 2024 New Rules for Investor Protections The Securities and Exchange Commission today adopted new rules and amendments to enhance disclosures and provide additional investor protection in initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and in subsequent business combination transactions between SPACs and target […]
SEC Charges Global Software Company SAP for FCPA Violations
The Securities and Exchange Commission today announced charges against global software company SAP SE for violations of the Foreign Corrupt Practices Act (FCPA) arising out of bribery schemes in South Africa, Malawi, Kenya, Tanzania, Ghana, Indonesia,… SEC Press Release
SEC Awards More Than $28 Million to Seven Whistleblowers
Understanding the Whistleblowers The Securities and Exchange Commission (SEC) has recently made headlines by awarding over $28 million to seven individuals whose crucial information and assistance played pivotal roles in the successful enforcement action taken by the SEC. In this article, we will delve into the details of these whistleblowers’ […]
