On July 26, 2023, the Securities and Exchange Commission issued the Final Rule on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure (the “Cybersecurity Rule”). The …
The IPO: Form S-1 vs. Form F-1
Preparing for an initial public offering (IPO) is a complex process that requires careful planning and execution. One of the key components of an IPO is filing a registration statement with the …
“Regulation Best Interest” Is Nearly Here. What Regulators Want to See. What Broker-Dealers Need to Know and Do.
On June 5, 2019, the United States Securities and Exchange Commission (“Commission”) adopted Rule 15l-1 (“Regulation Best Interest” or “Reg. BI”) under the Securities Exchange Act of 1934 (“Exchange …
Whistleblower Earns $3.5 Million Award for Bolstering Ongoing Investigation
The Securities and Exchange Commission today announced a whistleblower award of more than $3.5 million to a company employee whose tip bolstered an ongoing investigation with additional evidence of …
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