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September 22, 2023
Citadel Securities LLC, a renowned broker-dealer, has been charged for violating Rule 200(g) of Reg SHO, a regulation that requires broker-dealers to
May 25, 2023
Any doubts about the commitment of the Securities and Exchange Commission (SEC or Commission) to environmental and social governance (ESG) disappeared in recent months...
May 20, 2023
Analysis of DCF’s no-action letters and how the Staff has narrowly interpreted Rule 14a-8i 12 i of the Securities Exchange Act of 1934 and related regulations, empowering activists to demand action on matters that, until recently, were not the focus of shareholder scrutiny
April 27, 2023
The Securities and Exchange Commission's (SEC) Climate and ESG Task Force has scored another victory quickly on the heels of its recent settlement with Activision.
April 14, 2023
The Securities and Exchange Commission’s (SEC) Climate and ESG Task Force has scored another victory quickly on the heels of its recent settlement with Activision. On March 28, the SEC...
September 16, 2022
Here's a look inside VMware's SEC fine for delaying the issuance of license keys to manipulate earnings numbers during fiscal years 2019 and 2020.