‘Enforcement 40’ for 2020
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By Securities Docket on April 29, 2020, 8:24 am
I am deeply honored to have served as a Commissioner at the Commodity Futures Trading Commission over the last two and half years, as well as to have been a part of an administration that has assembled one of the best financial regulatory teams across the federal government. My five-year statutory term as a Commissioner […]
By Securities Docket on April 29, 2020, 8:22 am
On April 28, 2020, Tesla filed with the SEC an amendment to its annual 10-K filing (here). The amendment addresses a number of corporate governance and executive compensation issues. In a section of the filing with the heading “Director Independence,” the company discloses that: Tesla determined not to renew its directors and officers liability insurance […]
By Securities Docket on April 29, 2020, 8:04 am
This week, the North American Securities Administrators Association (NASAA) has announced the formation of a COVID-19 Task Force, uniting state and provincial regulators to identify and stop potential threats to investors. via Regulators form task force to fight COVID-19 investment scams | Wealth Professional.
By Securities Docket on April 29, 2020, 8:01 am
The Securities and Exchange Commission today announced an award of more than $18 million to a whistleblower whose significant information prompted an examination that resulted in an important enforcement action. The whistleblower repeatedly reported the problem internally before contacting the SEC. via SEC.gov | SEC Awards Over $18 Million to Whistleblower.