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Browse: Home / Disclosure

Disclosure

SEC Disclosures of Artificial Intelligence Technologies – Governance & Securities Watch

By Securities Docket on December 1, 2023, 8:41 am

The meteoric rise in generative artificial intelligence has dramatically altered the corporate landscape as companies increasingly invest in or incorporate artificial intelligence, including machine learning technologies (together referred to herein as “AI”), into their businesses. The increasing adoption of AI presents tremendous opportunities to harness data on a vast scale, but it also presents numerous […]

Posted in SEC, Top | Tagged AI, Disclosure

SEC Presses Companies to Vet Interest Rate Threat for Investors

By Securities Docket on November 14, 2023, 9:30 am

SEC officials are looking for robust disclosures from companies this annual report filing season detailing the threat to their businesses posed by interest rates that remain at historic highs. US companies should refer to 1997 disclosure guidance as they draft updates to market risk disclosures including interest rate sensitivity assessments, said Lindsay McCord, chief accountant […]

Posted in SEC, Top | Tagged Disclosure, Interest rates

Top US Cyber Agency Pushing Toward First Hack Reporting Rule

By Securities Docket on October 19, 2023, 8:16 am

A new US notification requirement for victims of malicious hacks could push in-house counsel to disclose cyberattacks when faced with ransomware and other network compromises. Among the first-ever cyber regulations to be enforced by the Department of Homeland Security’s Cybersecurity and Infrastructure Security Agency, the top US cyber authority, the proposed rules would require companies […]

Posted in Industry, Top | Tagged Cyberattacks, Disclosure

Column: U.S. Supreme Court to decide if SEC disclosure violations are valid basis for shareholder fraud claims | Reuters

By Securities Docket on October 2, 2023, 9:56 am

Securities class action defendants and their lawyers are very good at attracting the attention of the U.S. Supreme Court by predicting that terrible things will happen if the justices don’t intervene. The latest case in point: On Friday, the Supreme Court granted a petition by Macquarie Infrastructure Corp to review a 2022 ruling in which […]

Posted in Class Actions, Top | Tagged Disclosure

SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts

By Securities Docket on September 27, 2023, 8:11 am

The Securities and Exchange Commission today announced that Concord, California-based registered investment adviser AssetMark Inc. has agreed to pay more than $18 million to settle charges related to undisclosed conflicts of interest involving a cash sweep program operated by its affiliated custodian and its receipt of millions of dollars in revenue sharing payments from third-party […]

Posted in SEC, Top | Tagged Disclosure

SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds

By Securities Docket on September 26, 2023, 10:02 am

The Securities and Exchange Commission today announced that New York-based Bruderman Asset Management LLC (BAM) and its principal, Matthew J. Bruderman, agreed to settle charges related to their failure to disclose the misuse of proceeds raised from investment advisory clients and to the firm’s failure to implement reasonably designed written policies and procedures concerning the […]

Posted in SEC, Top | Tagged Disclosure

SEC Charges GTT Communications for Disclosure Failures

By Securities Docket on September 25, 2023, 10:17 am

The Securities and Exchange Commission today charged GTT Communications, Inc. with failing to disclose material information about unsupported adjustments the company made in several Commission filings, which increased GTT’s reported operating income by at least 15 percent in three quarters from 2019 through 2020. The SEC’s order credits GTT with promptly self-reporting, undertaking affirmative remedial […]

Posted in SEC, Top | Tagged Disclosure

SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction

By Securities Docket on September 21, 2023, 7:56 am

The Securities and Exchange Commission today charged Lyft Inc. for failing to disclose a company board director’s role in a shareholder’s sale of approximately $424 million worth of private shares of Lyft’s stock prior to the company’s initial public offering (IPO). According to the SEC’s order, prior to Lyft’s IPO in March 2019, a Lyft […]

Posted in SEC, Top | Tagged Disclosure

Hedge Funds Facing More SEC Reporting Mandates, Gensler Says

By Securities Docket on September 14, 2023, 8:07 am

Wall Street’s main regulators are advancing on a controversial bid to boost how much information big hedge funds must share with the US government. Securities and Exchange Commission Chair Gary Gensler signaled on Wednesday that his agency and the Commodity Futures Trading Commission may soon require large private funds to confidentially give more details on […]

Posted in SEC, Top | Tagged Disclosure, Hedge Funds

SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors

By Securities Docket on September 12, 2023, 1:24 pm

The Securities and Exchange Commission today announced a settled action against New York-based YieldStreet Inc. and its registered investment adviser subsidiary, YieldStreet Management LLC (together, YieldStreet), for failing to disclose critical information to investors in a $14.5 million asset-backed securities offering. According to the SEC’s order, in September 2019, YieldStreet offered securities to finance a […]

Posted in SEC, Top | Tagged Disclosure

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