Tag: www.seclaw.com

News

SEC Issues $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 […]

News

Small Business Advisory Committee to Host Virtual Meeting to Discuss Proposed Rules on Climate Disclosures and SPACs

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its virtual meeting on Friday, May 6, which will examine the Commission’s proposed rules on climate-related disclosures and Special… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]

News

Inspector General Carl W. Hoecker to Retire from SEC

The Securities and Exchange Commission today announced that Inspector General Carl W. Hoecker will retire from the agency as of May 7, 2022. He has led the Office of Inspector General (OIG) since Feb. 11, 2013. Rebecca Sharek, Deputy Inspector General… Read the Full Press Release Have a securities law […]

News

SEC Charges Senior Executive of Brazilian Company with Fraud

The Securities and Exchange Commission today announced charges against Fernando Passos, the former executive vice president of finance and investor relations of Brazilian reinsurance company IRB Brasil Resseguros S.A., for allegedly planting a false… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]

News

Fee Rate Advisory #1 for Fiscal Year 2022

The Securities and Exchange Commission today announced that starting on May 14, 2022, the fee rates applicable to most securities transactions will be set at $22.90 per $1 million.  Consequently, each SRO will continue to pay the Commission a rate… Read the Full Press Release Have a securities law question? […]