The SEC’s cybersecurity disclosure rules come with strict documentation requirements, especially as it relates to 8-K and ...

Recent developments suggest that governing boards should consider both business and personal relationships when determining ...

The United States Securities and Exchange Commission (SEC) will continue to pursue changes to the definition of “exchange” ...

Explore the key differences between hedge funds and mutual funds, their advantages and disadvantages, and find out which ...

Bankruptcy-remote custody solutions — like Anchorage Digital Bank, a federally chartered bank — would still meet the SEC definition of a qualified custodian. The analysis is more nuanced with ...

Verizon and AT&T both said the fines violate their Seventh Amendment right to a jury trial, and that the location data ...

Securities fraud occurs when a party misrepresents information in order to make money in the securities market at the expense of others. Securities fraud occurs when one party illegally acts on or ...

Given that each of these companies have made an incident disclosure under the new SEC rules, by definition the company has determined that the information that they have initially uncovered does ...

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It is important that firms maintain a log of all marketing material that meets the SEC's definition of "advertising" and ensure claims can be adequately substantiated with factual, documented support.

Spencer Platt / Getty Images The National Association of Securities Dealers (NASD) was a self-regulatory organization in the securities industry from 1939 to 2007. What Was the National ...

SEBI seeks to expand UPSI definition to include key agreements, insolvency proceedings, audits, and regulatory actions for ...