Podcasts about sec rule

Chris Killian, Managing Director, Corporate Credit and Securitization at SIFMA, joins host Patrick Dolan to discuss compliance programs in relation to SEC Rule 192. They focus on the impact of clause (a)(3)(iii) and the SEC's no-action relief issued on May 16, 2025.Listen and subscribe to the Securitization Insight podcast on Apple Podcasts, Spotify, or your preferred podcast app.

https://riacomptech.com/With $2.6 billion in recent fines, unarchived text messages create major compliance risks for RIAs, and even simple scheduling texts require proper archiving under SEC Rule 204-2, yet 95% of advisors use personal devices for client communications. RIA Compliance Technology City: Scottsdale Address: 10031 E Dynamite Blvd Suite 240 Website: https://riacomptech.com/

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Hour 2 of JJ & Alex with Jeremiah Jensen and Alex Kirry. When do people reaching a tipping point with the direction of college football? NFL Blitz: Aaron Rodgers hints that he will be signing soon with the Steelers The Top 10: Holidays with the highest calorie consumption

Ana's game of the week doesn't leave us with much time. Learn more about your ad choices. Visit megaphone.fm/adchoices

Feel Good Friday, 5 Sec Rule, And Too Many Hot Guys Learn more about your ad choices. Visit megaphone.fm/adchoices

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In the latest episode in our split the difference podcast series, which explores divergence in the regulatory regimes in the markets space, Mark Highman and Hannah McAslan-Schaaf consider the US and UK regimes for short selling. On the US side we focus in particular on the SEC's short position and activity reporting requirements under SEC Rule 13f-2.

Mauricio Rauld discusses the intricacies of real estate syndication, focusing on common legal mistakes, the role of capital raisers, and the importance of proper entity structures for asset protection. He emphasizes the need for syndicators to understand securities laws and the implications of using third-party capital raisers. The discussion also covers the evolving landscape of accreditation rules, the future of capital raising strategies, and predictions for the real estate market amidst economic changes. Mauricio Rauld | Real Estate Background Founder/CEO of Premier Law Group Based in: San Clemente, CA Contact Information: LinkedIn Sponsors: Altra Running Learn more about your ad choices. Visit megaphone.fm/adchoices

Welcome to Supreme Court Opinions. In this episode, you'll hear the Court's opinion in Macquarie Infrastructure Corp. v Moab Partners, L. P. In this case, the court considered this issue: May a failure to make a disclosure required under Item 303 of SEC Regulation S-K support a private claim under Section 10(b) of the Securities Exchange Act of 1934, even in the absence of an otherwise misleading statement? The case was decided on April 12, 2024. The Supreme Court held that pure omissions are not actionable under SEC Rule 10b–5(b), which makes it unlawful to omit material facts in connection with buying or selling securities when that omission renders “statements made” misleading. Justice Sonia Sotomayor authored the unanimous opinion of the Court. The plain text of Rule 10b-5(b) bars only half-truths, not pure omissions. Specifically, it prohibits omitting facts necessary to make “statements made” not misleading. There must first be an affirmative statement before determining whether additional facts are needed for clarity and completeness. The Securities Act of 1933 lends further support for this understanding because it expressly creates liability for pure omissions in registration statements, while the Exchange Act and Rule 10b-5(b) lack similar language. This difference suggests Congress and the SEC intentionally chose not to create liability for pure omissions under Rule 10b-5(b). The Court rejected the argument that pure omissions are inherently misleading because investors expect full disclosure under Item 303, explaining that this interpretation would improperly shift Rule 10b-5(b)'s focus from fraud to disclosure requirements. It also dismissed concerns about creating “broad immunity” for fraudulent omissions, noting that plaintiffs can still bring claims for half-truths and the SEC retains authority to enforce disclosure rules. Rule 10b-5(b) only targets fraudulent misrepresentations and misleading statements, not the mere failure to disclose required information absent any related statements. The opinion is presented here in its entirety, but with citations omitted. If you appreciate this episode, please subscribe. Thank you.  --- Support this podcast: https://podcasters.spotify.com/pod/show/scotus-opinions/support

John is joined by Christopher G. Michel, Partner in Quinn Emanuel's Washington, D.C. office and John Bash, Partner in Quinn Emanuel's Austin Office, the two Co-Chairs of the firm's National Appellate Practice.  They discuss several far-reaching decisions handed down by the U.S. Supreme Court at the end of its most recent term that significantly affect how the federal government will be able to regulate businesses.  First, John Bash explains the decision in Loper Bright Enterprises v. Raimondo, in which the Court over-turned the 40-year-old Chevron doctrine, which required courts to defer to the interpretation of ambiguous statutes adopted by the administrative agencies that implement those statutes.  He also explains the decision in Corner Post, Inc. v. Board of Governors, in which the Court ruled that the six-year statute of limitations for a plaintiff to challenge federal regulations runs from when the regulation first affects the plaintiff, not from when the regulation is promulgated.  They then discuss how Corner Post and Loper Bright together will potentially allow businesses to overturn agency interpretations of statutes that were established decades ago.  Chris explains the decision in SEC v. Jarkesy that when an agency brings a case that would typically require a jury at common law, the defendant is entitled to a jury trial in a federal court rather than a trial before one of the agency's administrative law judges.  Chris also explains the Court's decision in Harrington v. Purdue Pharma L.P., which held that a bankruptcy court may not grant a release of claims against non-parties to a bankruptcy unless the alleged victims consent to the release, and how the decision will affect large bankruptcy proceedings going forward.  They then discuss Moody v. NetChoice, LLC, in which the Court expressed skepticism about state laws in Texas and Florida that prohibited social media companies from engaging in certain forms of content moderation, but remanded the case for further proceedings.  Finally, they discuss Macquarie Infrastructure Corp. v. Moab Partners, in which the Court ruled that “pure omissions” are not actionable under SEC Rule 10b-5 and a Rule 10b-5 claim must always be based on a statement that is either false or misleading on its own or rendered misleading by a material omission.Podcast Link: Law-disrupted.fmHost: John B. Quinn Producer: Alexis HydeMusic and Editing by: Alexander Rossi

Grady Block, an attorney for Mountain States Legal Foundation, discusses the new SEC rule on climate change disclosure and its impact on small businesses. The rule requires SEC registrants to disclose any climate-related information that could have a material impact on their business. Grady explains the challenges and costs associated with compliance and how it will affect not only large companies but also small businesses in their supply chains. He also discusses the main arguments in the legal challenge against the rule, including the major questions doctrine and the arbitrary and capricious action of the SEC. Grady highlights the importance of considering the real-life impact on small business owners in the legal arguments. Main Street Matters is part of the Salem Podcast Network. For more visit JobCreatorsNetwork.comSee omnystudio.com/listener for privacy information.

In today's episode, we check in with the Supreme Court that still has six cases left to decide, including the key decision on Presidential immunity. We break down Moyle v. US, in which the Supreme Court punted (for now) on the seemingly straightforward question of whether state abortion laws can supersede the federal EMTALA law protecting women in emergency rooms. Then, we discuss SEC v. Jarkesy, in which the Roberts Court continues to gut the administrative state, this time by restricting how the Securities and Exchange Commission can go after securities fraud. And in between, we update you on all things Aileen Cannon, who's even worse than you imagined.    Links: Moyle v. US https://www.supremecourt.gov/opinions/23pdf/23-726_6jgm.pdf Trump Motion to Dismiss for AC Privilege (Doc. 566) https://storage.courtlistener.com/recap/gov.uscourts.flsd.648652/gov.uscourts.flsd.648652.566.0.pdf Cannon Ruling (Doc. 655) https://storage.courtlistener.com/recap/gov.uscourts.flsd.648652/gov.uscourts.flsd.648652.655.0_1.pdf SEC v. Jarkesy https://www.supremecourt.gov/opinions/23pdf/22-859_1924.pdf SEC Rule 10b-5 https://www.law.cornell.edu/cfr/text/17/240.10b-5   Show Links: https://www.lawandchaospod.com/ BlueSky: @LawAndChaosPod Threads: @LawAndChaosPod Twitter: @LawAndChaosPod Patreon: patreon.com/LawAndChaosPod  

We awarded Drs. Azadeh Khatibi, Tracy Høeg, Ram Duriseti, Aaron Kheriaty, and Pete Mazolewski NCLA's Award for Client Bravery. NCLA represented these courageous doctors in the successful Høeg v. Newsom suit challenging a California state law that would have subjected them to discipline for sharing information with patients that departed from the “contemporary scientific consensus” on Covid-19. Gov. Newsom signed a bill to repeal the law, marking a major victory for our clients, free speech, and medical liberty. NCLA also presented a “Georgie” award (a bust of George Washington) to Latham & Watkins partner Roman Martinez for outstanding service to NCLA and our clients. He delivered oral argument to the Supreme Court in January in our Relentless Inc. v. Dept. of Commerce case against the unconstitutional Chevron doctrine. The Buckeye Institute Director of Litigation David Tryon and Legal Fellow Alex Certo took home the Georgie for Best Amicus Brief, while A. Gregory Grimsal received the Best Local Counsel Award. NCLA recognized the winner of its Student Note Competition, Matthew Lambertson of the University of Florida's Levin Law School, who earned a $10,000 prize to be split with the Florida Law Review for his illuminating publication entitled: “The Common Law and SEC Rule 10b-5(b): Narrowing the Securities ‘Fraud' Exception to the First Amendment.” Finally, NCLA honored newly retired former Senior Litigation Counsel Richard Samp with the Cincinnatus Award, celebrating his illustrious 30-plus-year career defending justice in our Republic.See omnystudio.com/listener for privacy information.

5 - 14 - 24 5 SEC RULE FOR BLUEY TIX by Maine's Coast 93.1

The multi-trillion-dollar ESG fund industry faces a regulatory problem. By the end of 2025, funds with net assets of $1 billion or more must comply with the amendments to SEC Rule 35d-1, better known as the “names rule.” It requires funds with names that include ESG terms have at least 80% of the fund invested in assets that aligned with those terms. The amendments strengthen prospectus disclosure requirements, and mandate that terms used in the fund's name suggesting an investment focus be consistent with their plain-English meaning or established industry use.My guest today will explain how ESG has become a meaningless term to investors. The result has been massive flows to ESG funds that have large holdings in oil companies, agricultural chemical manufacturers and similar companies that many investors are not aware of. Fund managers are struggling to explain what is going on, as they must to comply with the names rule.Show ResourcesHere are some links to learn more about Jason and Reflection Asset Management:Reflection Analytics Launches Digital Platform for Comprehensive ESG Audit and AnalysisSEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund NamesReflection AMReflect website

In light of the SEC's new climate-related disclosure rule, the ESG Talk and Off the Books podcast crews huddled to make sense of it all.In this episode, Steve Soter asks Mandi McReynolds, head of ESG at Workiva, and Andie Wood, Vice President of Regulatory Strategy at Workiva, for their thoughts.Then Jonathan Gregory, North America Controller at The Hershey Co., and Alan Wilson, Partner at WilmerHale, share their initial reactions, what surprised them in the rule, and some of their questions about the rule in the weeks and months to come.Subscribe to ESG Talk and Off the Books as we continue the conversation in the year ahead.

Our experts and special guest Susan Light,  Partner and Co-chair of Broker Dealer Regulation at Katten Muchin Rosenman LLP, explore the new SEC rules expanding the number of firms required to register with a self-regulatory organization.  They share their experience and insights into the rule changes, including what it means for the firms who must comply, the FINRA registration application process, challenges non-broker dealer entities may experience adapting to FINRA membership, and how FINRA has historically handled rule changes involving new membership. Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

According to Windows Central, new SEC rules went into effect late last year, forcing public companies to disclose a cybersecurity incident within 4 days. In this episode, host Paul John Spaulding is joined by Steve Morgan, Founder of Cybersecurity Ventures and Editor-in-Chief at Cybercrime Magazine, to discuss. The Cybercrime Magazine Update airs weekly and covers the latest news, interviews, podcasts, reports, videos, and special productions from Cybercrime Magazine, published by Cybersecurity Ventures. For more on cybersecurity, visit us at https://cybersecurityventures.com

Episode SummaryIn this episode, Special Advisor for Cyber Risk at the NACD, Christopher Hetner, returns to the show to discuss the new SEC cybersecurity rules. Chris has over 25 years of experience in cybersecurity, helping protect industries, infrastructures, and economies, serving in roles including as SVP of Information Security at Citi, Senior Cybersecurity Advisor to the Chairman of the US SEC, Executive Member of IANS, the National Board Director of the Society of Hispanic Professional Engineers, Senior Advisor for the Chertoff Group, Senior Advisor to the CEO of Stuart Levine & Associates, and Co-Chair of Nasdaq Cybersecurity and Privacy.Today, Chris talks about the developments since January 2023, the timeframe requirements in practice, and normalizing cybersecurity incidents as business-as-usual. What is Inline XBRL? Learn how startups could prepare themselves for these changes, the scope of disclosure, and how risk management strategies might evolve to address Cloud-specific threats. Timestamp Segments·       [02:36] What has changed since January?·       [06:49] Why things changed.·       [08:51] Was it a good move?·       [12:27] Determining the materiality of cybersecurity incidents “without unreasonable delay.”·       [17:49] Is 4 days enough?·       [22:19] The scope of disclosure.·       [24:09] Normalizing cybersecurity incidents.·       [26:24] Moving toward real-time monitoring.·       [28:52] Is insurance becoming a forcing function?·       [32:18] Evolving risk management strategies.·       [36:05] Third-party disclosure requirements·       [39:51] How do startups prepare?·       [41:52] What is Inline XBRL?·       [42:54] Inline XBRL to 8-k.·       [43:30] How the tagging requirement impact the disclosure process. Notable Quotes·       “The magnitude of these events is the percentage of the event relative to revenue.”·       “We're going to see market forces drive these safety standards within our enterprises.” Relevant LinksLinkedIn:         Christopher Hetner Resources:https://www.sec.gov/news/press-release/2023-139.Secure applications from code to cloud. Prisma Cloud, the most complete cloud-native application protection platform (CNAPP).Disclaimer: This post contains affiliate links. If you make a purchase, I may receive a commission at no extra cost to you.

Apple will offer RCS support in 2024, Amazon will start selling cars online, and Hackers used a new SEC rule to snitch on the company they infiltrated. It's Friday, Nov. 17th and this is Engadget Today

Nation-states exploit the WinRAR vulnerability. Criminals leak more stolen 23andMe data. QR codes as a risk. NSA and partners offer anti-phishing guidance. A Ukrainian hacktivist auxiliary takes down Trigona privateers. Hacktivism and influence operations remain the major cyber features of the Hamas-Israeli war. On today's Threat Vector, David Moulton speaks with Kate Naunheim, Cyber Risk Management Director at Unit 42, about the new cybersecurity regulations introduced by the SEC. Our own Rick Howard talks with Jen Miller Osborn about the 10th anniversary of ATT&CKcon. And the epistemology of open source intelligence: tweets, TikToks, Instagrams–they're not necessarily ground truth. Threat Vector To delve further into this topic, check out this upcoming webinar by Palo Alto's Unit 42 team on November 9, 2023, "The Ransomware Landscape: Threats Driving the SEC Rule and Other Regulations." Please share your thoughts with us for future Threat Vector segments by taking our brief survey. To learn what is top of mind each month from the experts at Unit 42 sign up for their Threat Intel Bulletin.  For links to all of today's stories check out our CyberWire daily news briefing: https://thecyberwire.com/newsletters/daily-briefing/12/200 Selected reading. Government-backed actors exploiting WinRAR vulnerability (Google)  The forgotten malvertising campaign (Malwarebytes) Hacker leaks millions of new 23andMe genetic data profiles (BleepingComputer)  Exploring The Malicious Usage of QR Codes (SlashNext |)  How to Protect Against Evolving Phishing Attacks (National Security Agency/Central Security Service) GuidePoint Research and Intelligence Team's (GRIT) 2023 Q3 Ransomware Report Examines the Continued Surge of Ransomware Activity (GuidePoint) Ukrainian activists hack Trigona ransomware gang, wipe servers (BleepingComputer)  Navigating the Mis- and Disinformation Minefield in the Current Israel-Hamas War (ZeroFox) War Tests Israeli Cyber Defenses as Hack Attempts Soar (Bloomberg) U.S. says Israel ‘not responsible' for Gaza hospital blast; Biden announces ‘unprecedented' aid package in speech (Washington Post) Three clues the Ahli Arab Hospital strike came from Gaza (The Telegraph)  Who's Responsible for the Gaza Hospital Explosion? Here's Why It's Hard to Know What's Real (WIRED)  ‘Verified' OSINT Accounts Are Destroying the Israel-Palestine Information Ecosystem (404 Media) Learn more about your ad choices. Visit megaphone.fm/adchoices

Michelle Atlas-Quinn, J.D. is the Vice President of RIA Operations for Advisor Law. She is an  Attorney licensed by the Colorado Supreme Court to practice law (active registration). She earned her Juris Doctorate from University of Denver Sturm College of Law. Michelle formerly held FINRA licenses Series 7, 63, and 24 and former Colorado life and health insurance license. She earned her Bachelor of Arts in Philosophy from the University of Colorado.   David and Michelle discuss the transition from working with a broker-dealer to becoming an independent registered investment advisor (RIA). Michelle shared her career journey which led her to founding the RIA division at Advisor Law. She discussed some of the benefits of being an RIA like lower fees, less regulatory oversight, and more freedom in marketing. However, she cautioned that as an independent advisor there is more responsibility to ensure compliance. Michelle provided tips on complying with regulations and working with a compliance partner like Advisor Law. Overall, the discussion focused on helping advisors understand the opportunities and responsibilities involved in making the shift to the RIA space.   "The SEC Rule is, am I doing what's in the client's best interest? Am I being careful with their money and making decisions that I think are careful." - Michelle Atlas   This week on The Model FA Podcast: Career journey and RIA services with Michelle Atlas. Transitioning from broker-dealer to RIA. Regulatory changes and compliance in the RIA space. Marketing in the financial industry with a focus on compliance. SEC compliance for financial advisors transitioning from broker-dealers to registered investment advisors. Our Favorite Quotes:   "Anything that you collect a fee on, is Ria, anything you could collect a commission on, is a broker-dealer. And so you look at your book and you say, well, what else am I still collecting commissions on?" - Michelle Atlas   “From a marketing standpoint, in the RIA space, it's just nice that you can market your business more in alignment with the way that businesses are marketed today.” - David DeCelle   "So there are some challenges, but I think  85-90% of most people's books these days, if you look at them, are fee based, because they are using managed money." - Michelle Atlas   "FINRA derives their jurisdiction from the SEC. So instead of having three regulators, and if you're doing insurance, maybe four, you're down to three." - Michelle Atlas   Connect with Michelle:   LinkedIn: https://www.linkedin.com/in/michelleatlas/ Website: https://advisorlawllc.com/ Email: matlas@advisorlawyer.com   About the Model FA Podcast   The Model FA podcast is a show for fiduciary financial advisors. In each episode, our host David DeCelle sits down with industry experts, strategic thinkers, and advisors to explore what it takes  to build a successful practice — and have an abundant life in the process. We believe in continuous learning, tactical advice, and strategies that work — no “gotchas” or BS. Join us to hear stories from successful financial advisors, get actionable ideas from experts, and re-discover your drive to build the practice of your dreams.    Did you like this conversation? Then leave us a rating and a review in whatever podcast player you use. We would love your feedback, and your ratings help us reach more advisors with ideas for growing their practices, attracting great clients, and achieving a better quality of life. While you are there, feel free to share your ideas about future podcast guests or topics you'd love to see covered.    Our Team: President of Model FA, David DeCelle   If you like this podcast, you will love our community! Join the Model FA Community on Facebook to connect with like-minded advisors and share the day-to-day challenges and wins of running a growing financial services firm.

Kurt Wolfe, securities attorney with Troutman Pepper, discusses the final updated rules from the SEC on adviser marketing. The rule hasn't changed in nearly 40 years, so Jeff, Bruce and Kurt have plenty to discuss, including what is allowed under the new guidelines and differences for brokers vs. advisers.

STYLE// ROUTINES// PASSIONS// VOICE// HOME// & YOUR SENSE OF SELFall things that I've come to learn a huge sense of individuality in— today I'm sharing one of the BIGGEST tips I can give “the 7 second rule” & how it's changed my lifeKATELYNN'S IG: https://www.instagram.com/katelynnnolann/KATELYNN'S YOUTUBE: https://youtube.com/c/katelynnnolan KATELYNN'S TIKTOK: https://tiktok.com/@katelynnnolannNYT PODCAST IG: https://www.instagram.com/notyourtypicalwithknSee Privacy Policy at https://art19.com/privacy and California Privacy Notice at https://art19.com/privacy#do-not-sell-my-info.

This week, we discuss the state of the market as OneTrust announces a round, one year after they laid off nearly 1000 employees. We also note that we continue to see more and more non-US cybersecurity vendor activity - France and India specifically this week. An IBM report tries to tie security spending to breach costs, but we disagree. We discuss the impact of InfoSec leaving Twitter, and the odds of whether or not the Las Vegas Sphere will get hacked during DEF CON.   Visit https://www.securityweekly.com/esw for all the latest episodes! Show Notes: https://securityweekly.com/esw-325 

This week, we discuss the state of the market as OneTrust announces a round, one year after they laid off nearly 1000 employees. We also note that we continue to see more and more non-US cybersecurity vendor activity - France and India specifically this week. An IBM report tries to tie security spending to breach costs, but we disagree. We discuss the impact of InfoSec leaving Twitter, and the odds of whether or not the Las Vegas Sphere will get hacked during DEF CON.   Visit https://www.securityweekly.com/esw for all the latest episodes! Show Notes: https://securityweekly.com/esw-325 

While the board of directors is generally conferred the power to manage the day-to-day affairs of a corporation, either by the statute, or by the articles of incorporation, this is always subject to limits, including the rights that shareholders have. For example, the Delaware General Corporation Law §141(a) says the "business and affairs of every corporation ... shall be managed by or under the direction of a board of directors, except as may be otherwise provided in this chapter or in its certificate of incorporation." However, directors themselves are ultimately accountable to the general meeting through the vote. Invariably, shareholders hold the voting rights, though the extent to which these are useful can be conditioned by the constitution. The DGCL §141(k) gives an option to corporations to have a unitary board that can be removed by a majority of members "without cause" (for example a reason determined by the general meeting and not by a court), which reflects the old default common law position. However, Delaware corporations may also opt for a classified board of directors (for example where only a third of directors come up for election each year) where directors can only be removed "with cause" scrutinized by the courts. More corporations have classified boards after initial public offerings than a few years after going public, because institutional investors typically seek to change the corporation's rules to make directors more accountable. In principle, shareholders in Delaware corporations can make appointments to the board through a majority vote, and can also act to expand the size of the board and elect new directors with a majority. However, directors themselves will often control which candidates can be nominated to be appointed to the board. Under the Dodd-Frank Act of 2010, §971 empowered the Securities and Exchange Commission to write a new SEC Rule 14a-11 that would allow shareholders to propose nominations for board candidates. The Act required the SEC to evaluate the economic effects of any rules it wrote, however when it did, the Business Roundtable challenged this in court. In Business Roundtable v SEC, Ginsburg J in the DC Circuit Court of Appeals went as far to say that the SEC had "acted arbitrarily and capriciously" in its rulemaking. After this, the Securities and Exchange Commission failed to challenge the decision, and abandoned drafting new rules. This means that in many corporations, directors continue to have a monopoly on nominating future directors. Apart from elections of directors, shareholders' entitlements to vote have been significantly protected by federal regulation, either through stock exchanges or the Securities and Exchange Commission. Beginning in 1927, the New York Stock Exchange maintained a "one share, one vote" policy, which was backed by the Securities and Exchange Commission from 1940. This was thought to be necessary to halt corporations issuing non-voting shares, except to banks and other influential corporate insiders. However, in 1986, under competitive pressure from NASDAQ and AMEX, the NYSE sought to abandon the rule, and the SEC quickly drafted a new Rule 19c-4, requiring the one share, one vote principle. In Business Roundtable v SEC the DC Circuit Court of Appeals struck the rule down, through the exchanges and the SEC subsequently made an agreement to regulate shareholder voting rights "proportionately". Today, many corporations have unequal shareholder voting rights, up to a limit of ten votes per share. Stronger rights exist regarding shareholders' ability to delegate their votes to nominees, or doing "proxy voting" under the Securities and Exchange Act of 1934. Its provisions were introduced to combat the accumulation of power by directors or management friendly voting trusts after the Wall Street Crash. --- Send in a voice message: https://podcasters.spotify.com/pod/show/law-school/message Support this podcast: https://podcasters.spotify.com/pod/show/law-school/support

So it turns out, the SEC is stuck in the 2010s with its post-spring transfer portal rule. The guys dig into that and why it needs changing. Tennessee great Hendon Hooker joined the show on half of SixStar Pro Nutrition to discuss the Draft criticism he received, the throw that beat Bama, cigars (or lack there of) and much more. Connor and Will close with an "Ask Us Anything."

At the onset of the new year, the WSJ reported the SEC is “considering a softening of planned rules” while also highlighting the proposed 1% threshold, otherwise known as a bright-line test. On this episode of the Financial Executives Podcast, we sit down with Maura Hodge, KPMG's ESG Audit Leader, to get a better understanding of what the 1% disclosure threshold could mean for companies and their auditors as they prepare for the SEC's final climate disclosure rule. Download the Financial Education & Research Foundation Report on "How Corporate Finance is Preparing for Climate Disclosure & Best Practices" here (https://www.financialexecutives.org/Research/Publications/2023/How-Corporate-Finance-is-Preparing-for-Climate-Dis.aspx) Special Guest: Maura Hodge.

Oyster's Capital Markets experts were recently featured on the Bond Dealer Association's podcast, "Bonding Time," discussing issues affecting the US fixed income markets.  Topics include SEC Rule 15c-211, TRACE and MSRB reporting, the FINRA Margin Rule (42-10), Best Execution, T+1 and Clearing Options. Enjoy a short sample of the original podcast.  You can listen to the entire podcast here. ________________________________________________________________________________________We have the expertise, experience and licensed professionals you need, all under one roof. Our seasoned industry leaders provide consulting, outsourcing and software to help you plan, manage risk, achieve compliance and optimize operations so you can focus on running and growing your business.Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter. Does your firm need help now? Contact us today!

Are you familiar with the SEC's 206(4) proposal? Will you be compliant?  In this episode, Laura Gregg and David Partain are joined by Paul Binnion of Hanlon Investment Management to consider the intent and potential impact of the proposal.  If you outsource certain investment functions or have been evaluating third-party service providers, join us to … Continue reading Ep 88: How SEC rule 206(4) could change your business model — With Paul Binnion →

Securitization Insight Ep 25: SEC's Rule 15c2-11 and its Impact on SecuritizationsKristi Leo, President of the Structured Finance Association, returns to join host Patrick Dolan on Securitization Insight to discuss the requirements of the amended SEC Rule 15c2-11 and its impact on the fixed income market. We explore the issues for securitizations related to the Rule's requirement of publicly available information for Rule 144A securities, and what it means for broker-dealers, legacy securitizations and market liquidity.Listen and subscribe to the Securitization Insight podcast on Apple Podcasts, Spotify, or your preferred podcast app.

This podcast Part VI discusses SEC Rule 14a-8's ordinary business exclusion, with emphasis on shareholder proposals related to employment discrimination.

This podcast Part V furnishes background history of SEC Rule 14a-8's ordinary business exclusion.

This podcast Part IV   analyzes the evolving role of SEC Rule 14a-8's substantially-implemented exclusion for shareholder proposals.

This podcast Part III discusses how shareholder proponents may prove ownership under SEC Rule 14a-8.

This podcast Part II discusses the basic requirements for submission of shareholder proposals under SEC Rule 14a-8.

This week on Understanding Crypto with Paul Abercrombie and James Burtt they discuss the Securities and Exchange Commission (SEC) allegations of insider trading in the world of crypto and its subsequent reclassification of nine cryptocurrencies as securities. Though the Howey test has traditionally measured investment viability, Paul believes that the FCA task force laid the groundwork for future SEC regulation of digital assets. He predicts additional sanctions from the organization.   SEC Announcement The Securities and Exchange Commission (SEC) announced nine cryptocurrency securities in response to insider trading charges. Paul explains that in order for a cryptocurrency to fall within the category of a security it has to be a financial asset with monetary value. He claims that it is now common for developers to sell tokens—which are intended to be a digital representation of shares—without really delivering the promised rewards. Although the SEC often disapproves of this approach, it frequently goes unnoticed because cryptocurrency currently operates outside the regulatory framework.    The Howey test was developed to ensure investment viability by ensuring that assets fit into the following criteria: Is there an Investment of money? Is there a common enterprise? Are you investing with an expectation of profit?  Are efforts derived from others?   “This whole regulation, the SEC, the Howey test, almost sets the trends in crypto over the last couple of years,” Paul remarks.  Interestingly, crypto creators have developed procedures to protect them from the bureaucracy associated with this class of investments in order to lower the likelihood that their digital assets would be classified as securities. However, the ongoing court dispute has shed light on these evasive tactics. [Listen from 1:35]   Commonalities  Insider trading is now illegal in the cryptocurrency industry as a result of the SEC's retroactive classification of nine cryptocurrencies as securities. Paul explains, “The person who's told his mate or his brother that this token is going to be launched, get involved because it's a good project, is actually insider trading because it's a security.” However, he believes the SEC's odds of winning this legal battle against the defendant is low, given that the investment was not a security at the time the offense was committed.    A detailed examination of the websites of the re-classified crypto projects revealed commonalities, including the frequent use of terms such as community, DeFi institutions and escrow. “So a lot of what's come out of crypto is a circumvention of the Howey test through language. They're not calling profit profit, they're calling profit rewards,” observes Paul. As the SEC looks into other semantic loopholes that many Web3 creators have used to circumvent the stringent rules and processes, he predicts additional sanctions. Paul believes that the Financial Conduct Authority (FCA) task force, which began before Boris Johnson's retirement, laid the groundwork for future SEC regulation of digital assets. He continues, “What will come out of this is a change to the SEC's approach of how they view certain assets because [crypto] is here to stay now.” James' major concern is this: “If the S.E.C. can pin this onto nine cryptocurrencies, then how many of those projects that are existing out there right now sit in that gray area?” [Listen from 12:44]   Key Takeaways Insider trading is now illegal in the cryptocurrency industry as a result of the SEC's retroactive classification of nine cryptocurrencies as securities.

7 - 25 - 22 PT2 5 SEC RULE RULES (KELLYKAST) by Maine's Coast 93.1

7 - 25 - 22 PT1 5 SEC RULE RULES (CARCIFEROUS) KELLYKAST by Maine's Coast 93.1

7 - 25 - 22 PT2 5 SEC RULE RULES (KELLYKAST) by Maine's Coast 93.1

7 - 25 - 22 PT1 5 SEC RULE RULES (CARCIFEROUS) KELLYKAST by Maine's Coast 93.1

6-21-22 AJ DailyMarket Closeout: the Summer of UncertaintyAdapted from an article by Troy Marshall, American Angus Association Beltway Beef Podcast: Fighting Back Against Overreaching SEC Rule Adapted from a release by the National Cattlemen's Beef Association Apply by Aug. 13 to the 44 Farms International Beef Cattle Academy Adapted from a release by Texas A&M University Compiled by Paige Nelson, field editor, Angus Journal. For more Angus news, visit angusjournal.net. 

6-20-22 AJ DailyWhere Does Beef Go When it Leaves the Packer?Adapted from a release by Certified Angus Beef LLC NCBA Fights Controversial SEC Climate Rule Adapted from a release by the National Cattlemen's Beef Association Proposed SEC Rule Requirements Nearly Impossible for Family Farms Adapted from a release by the American Farm Bureau Federation Compiled by Paige Nelson, field editor, Angus Journal. For more Angus news, visit angusjournal.net.

On this episode, NCBA Environmental Counsel Mary-Thomas Hart joins to discuss NCBA's fight against the U.S. Securities and Exchange Commission's overreaching greenhouse gas disclosure rule. Hart details the origins of the rule and the harm it could cause to cattle producers. Hart also highlights NCBA's grassroots campaign against the rule, which resulted in over 6,000 cattle producers sharing their perspective with the SEC, and key arguments from technical comments submitted to the agency by an NCBA-led coalition of agricultural groups.

A proposed rule by the Securities and Exchange Commission seeks climate-related disclosures for investors. Micheal Clements shares how the proposal may impact agriculture. The post Extension Given to Review Proposed SEC Rule appeared first on Tennessee Farm Bureau.

In this episode, Chris speaks with Joanne Driscoll, CFA, Head of Short Term Liquid Markets in the Fixed Income group at Putnam Investments. In this position, she is responsible for the oversight of the investment strategies and management of short duration products along with SEC Rule 2a-7 mandated portfolios and other cash assets. Joanne is a Portfolio Manager of Putnam Government Money Market Fund, Putnam Money Market Fund, Putnam Short Duration Bond Fund, and Putnam Ultra Short Duration Income Fund. During the conversation, they touch on many topics, including: The current landscape on the front-end of the curveThe Fed and QEInflationThe challenges involved with managing through the pandemicRising rates and the impact on the short end of the curveThe difficulties in '08 and '09 compared to 2020Fixed income spreadsHow Joanne manages risk in Putnam's Ultrashort and Short Duration fundsThis material is for informational and educational purposes only. It is not a recommendation of any specific investment product, strategy, or decision, and is not intended to suggest taking or refraining from any course of action. It is not intended to address the needs, circumstances, and objectives of any specific investor. This information is not meant as tax or legal advice. Investors should consult a professional advisor before making investment and financial decisions and for more information on tax rules and other laws, which are complex and subject to change. All investments involve risk, including the loss of principal. You can lose money by investing. To view additional information including performance and holdings, please visit the Putnam Ultra Short Duration Income Fund page found on putnam.com.  Investors should carefully consider the investment objectives, risks, charges, and expenses of a fund before investing. For a prospectus, or a summary prospectus if available, containing this and other information for any Putnam fund or product, call your financial representative or call Putnam at 1-800-225-1581. Please read the prospectus carefully before investing. Putnam Retail Management                                                                                       AD1931413 11/21