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SEC Proposes to Enhance Disclosures by Certain Investment Advisers and Investment Companies About ESG Investment Practices

The Securities and Exchange Commission today proposed amendments to rules and reporting forms to promote consistent, comparable, and reliable information for investors concerning funds’ and advisers’ incorporation of environmental, social, and governance… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

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SEC’s ALJ Problems…Again

Readers will recall my exploits with the SEC‘s ALJ system a few years back, where my client, and others, were forced into that system rather than federal court, lost at trial with significant procedural and due process right violations. We appealed to the Commission, argued the appeal before the Commission […]

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Representation of Investors in EminiFX

According to the US Attorney for the Southern District of New York, and the Commodity Futures Trading Commission, Eddy Alexandre the leader of a purported cryptocurrency and forex trading platform called EminiFX, has been charged with commodities fraud and wire fraud offenses.   The CFTC also obtained an order from the […]

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Work-from-home stocks are getting crushed

News from CNN.com News: What you need to know about the markets     Work-from-home stocks are getting crushed You remember the early days of the pandemic, when millions of office workers started doing their jobs from home for the first time. Read more »   Here’s what’s getting more expensive at […]

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SEC Extends Comment Period for Proposed Rules on Climate-Related Disclosures, Reopens Comment Periods for Proposed Rules Regarding Private Fund Advisers and Regulation ATS

 May 9, 2022 — The Securities and Exchange Commission today announced that it has extended the public comment period on the proposed rulemaking to enhance and standardize climate-related disclosures for investors until June 17, 2022. The SEC also announced that it will reopen the comment periods on the proposed rulemaking […]

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SEC Issues Nearly $3.5 Million Award to Four Whistleblowers

Washington D.C., May 6, 2022 — The Securities and Exchange Commission today announced a total award of nearly $3.5 million to four whistleblowers who provided information and assistance in a single covered action. Three joint whistleblowers provided Commission staff with information that caused the staff to open a new investigation […]