Capital Markets & Securities Law Watch
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October 3, 2024
|3 min read
SEC Charges Public Company with Regulation FD Violation over CEO’S Social Media Posts
The Securities and Exchange Commission (SEC) recently charged a public company with violations of Regulation Fair Disclosure (“Regulation FD”) stemming from social media posts by the company’s CEO. These charges are evidence of a trend toward increased Regulation FD enforcement by the SEC.
May 29, 2024
|7 min read
The Impact on Equity Compensation Tax Withholding of the SEC’s New T+1 Settlement Cycle
Last year, the Securities and Exchange Commission adopted its final rule to shorten the settlement cycle for most broker-dealer securities transactions to one business day after the trade date (T+1). Previously, the standard settlement cycle was two business days after the trade date (T+2).
February 1, 2024
|1 min read
U.S. to Transition to T+1 Settlements
As the U.S. prepares to transition to a T+1 practice for securities settlements on May 28, 2024, Securities and Exchange Commission (SEC) Chair Gary Gensler gave a speech to the European Commission on January 25, 2024, in which he commented, "The longer it takes for a trade to settle…the more risk our markets assume and the more risk fundamentally we all assume."