Securities Regulation
Mixed Bag: What Trump 2.0 Tariffs, DOGE Activities Mean For Insurers
Setting aside the populist flavor of his campaign rhetoric, Donald J. Trump's previous service as the nation's 45th President presents a remarkable opportunity to make educated guesses about the ...
Wall Street Regulator Approves Tougher Rules for Auditor ‘Negligence’
Wall Street's top regulator on Tuesday voted 3-2 to bless new rules making it easier for an audit watchdog to hold people responsible for audit firms' violations. Divided along party lines, the ...
‘AI Washing’ Troubles: SEC Fines Investment Firms, Issues Warnings
The U.S. Securities and Exchange Commission this week said it settled charges against two investment advisers related to "AI washing," or essentially making false claims about their use of artificial ...
Republican-Led States Sue SEC Over Climate Risk Disclosure Rules
Ten Republican-led states have sued to challenge new federal rules that require U.S.-listed companies to report climate-related risks, a spokesperson for the West Virginia Attorney General's Office ...
SEC Clamping Down on Compliance Breaches Via WhatsApp, Zoom
With text messages and emails under tightened surveillance, financial firms may now have to screen staff video calls for possible rule-breaking, amid concern regulators are poised to scrutinize such ...
Root Discloses SVB Exposure; Lemonade Unaffected
The impact of the Friday's shutdown of Silicon Valley Bank on the insurance industry remained as unclear as the fallout for the rest of the tech industry for most of this weekend, but two publicly ...
Great SPAC Crash of 2022 Deepens as Investors Cash Out in Droves
The great SPAC crash is closing out the year in dramatic fashion as more shareholders prepare to cash out of the speculative-investing industry for good. At least 80 special-purpose acquisition ...
SEC Cyber, Climate Disclosure Rules May Drive Up D&O Claims
New rules proposed by the U.S. Securities and Exchange Commission on cybersecurity and climate impact disclosures may generate more lawsuits that will generate claims against directors and officers ...