New SEC Rule: Disclose Cybersecurity Breaches in Four Days
“Whether a company loses a factory in a fire – or millions of files in a cybersecurity incident – it may be material to investors,” SEC Chair Gary Gensler said in a statement.
SEC Crypto Lawsuits Raise Questions About Industry’s Future
Industry leaders say that, with their latest actions, U.S. regulators are more clearly signaling that they seek to ensure cryptocurrency has no room in the traditional financial system.
Trade Groups Seek Significant Changes to SEC Climate Proposal
Banking and mortgage trade groups have called for the Securities and Exchange Commission to significantly revise or even abandon its proposal to require public companies to disclose climate-related risks.
SEC Filing: Changing Market Conditions Curbed Interest in Envision Bank Deal
Market conditions prompted two banks to drop out of the running to acquire Envision Bank, according to a recent filing with the Securities and Exchange Commission.
New Corporate Climate Change Disclosures Proposed by SEC
Companies would be required to disclose the greenhouse gas emissions they produce and how climate risk affects their business under new rules proposed Monday by the Securities and Exchange Commission as part of a drive across the government to address climate change.
$800K Wells Fargo Penalty OK’d in Schilling Video Game Deal
A federal judge has approved an agreement for Wells Fargo Securities to pay an $800,000 civil penalty to end a lawsuit by the U.S. Securities and Exchange Commission over Rhode Island’s failed $75 million deal with former Boston Red Sox pitcher Curt Schilling’s video game company, 38 Studios.
SEC Obtains Judgment Against Officers, Promoters In Pyramid Scheme
A federal court in Boston recently entered final judgments against the company officers and promoters of a pyramid scheme that targeted Latino communities, the Securities and Exchange Commission (SEC) said this week.
SEC Charges Four With Defrauding Investors
The Securities and Exchange Commission recently...District Attorney Charges Two In Market Manipulation Scheme
A former New Hampshire stock broker and his...State Street Could Lay Off 7,000 By 2020
State Street Corp. is eyeing up to 7,000 layoffs...REIT Fined $3M For Phony Proxy Voting
Boston-based Realty Capital Securities (RCS) will pay...
Chairman Of Biomed Company Charged With Fraud
The chairman of a Boston-based biomedical company was...SEC Bars S.C. Man From Securities Industry Over Mass. Wire Fraud Conviction
The Securities and Exchange Commission (SEC) recently...Citigroup To Pay $15 Million To Settle U.S. Compliance Charges
A unit of Citigroup Inc. will pay $15 million to...SEC Charges Rhode Island Bank Director With Insider Trading
The Securities and Exchange Commission (SEC) on...SEC: Mass. Investment Advisor Ordered To Pay $1M To Conclude Fraud Cases
A federal district court ordered a Massachusetts...Provident Bancorp Files For Partial IPO
Provident Bancorp in Amesbury will file a partial IPO...White Says SEC Should Act On Fiduciary Rule For Brokers, Advisers
U.S. Securities and Exchange Commission Chair Mary Jo White said on Tuesday she supports crafting new rules to harmonize the differing standards that govern how retail brokers and advisers offer investment advice.
