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BioWorld - Thursday, June 26, 2025
Home » Topics » Regulatory » SEC

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World trade illustration

SEC finalizes rules on foreign companies

Dec. 7, 2021
By Mari Serebrov
The U.S. SEC adopted final amendments Dec. 2 to its rules implementing 2020’s Holding Foreign Companies Accountable Act.
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World trade illustration

SEC finalizes rules on foreign companies

Dec. 3, 2021
By Mari Serebrov
The U.S. SEC adopted final amendments Dec. 2 to its rules implementing 2020’s Holding Foreign Companies Accountable Act.
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Former pharma CFO charged with insider trading

Dec. 3, 2021
By Mari Serebrov
Usama Malik, Immunomedics Inc.’s former chief financial officer, and his former partner, Lauren Wood, face SEC charges related to insider trading in Immunomedics’ stock.
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U.S. Securities and Exchange Commission

SEC provides guidance on executive compensation

Nov. 30, 2021
By Mari Serebrov
The U.S. SEC released guidance Nov. 29 that could impact how drug and medical device companies shape, and report, their executive compensation packages when it comes to "spring-loaded awards.”
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Hedge fund adviser liable for securities fraud against Ligand

Nov. 8, 2021
A U.S. district court jury in Boston found Nov. 5 that Gregory Lemelson and Massachusetts-based Lemelson Capital Management LLC made fraudulent misrepresentations about Ligand Pharmaceuticals Inc. to drive down the San Diego company’s stock price.
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SPAC ticker illustration

SEC dialing up scrutiny of special purpose acquisition companies

Sep. 17, 2021
By Mark McCarty
Special purpose acquisition companies (SPACs) have been making headlines recently in the life sciences, but these entities practice a business model that leaves some observers uneasy. Gary Gensler, chairman of the U.S. Securities and Exchange Commission (SEC), told a Senate committee recently that the risks to investors in SPACs has prompted him to ask his staff to come up with some proposals to increase transparency to investors, potentially leading to additional compliance costs for these entities.
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Cytodyn under SEC, DoJ investigation

Aug. 3, 2021
By Mari Serebrov
Statements Cytodyn Inc. made about the potential for its investigational monoclonal antibody, leronlimab, to treat COVID-19 continue to reverberate with U.S. authorities.
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U.S. Securities and Exchange Commission

U.S. authorities allege Parallax exploited pandemic to bolster value of shares

July 8, 2021
By Mark McCarty
The U.S. Securities and Exchange Commission (SEC) has had Parallax Health Sciences Inc. in its crosshairs at least as far back as April 2020, when the agency suspended trading of the company’s shares. In the latest development, the SEC charged the company and two of its executives with misleading investors regarding the availability of COVID-19 screening tests and personal protective equipment, actions the agency said were undertaken to exploit the pandemic in an effort to boost the company’s share prices.
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Regulatory front for Feb. 11, 2021

Feb. 11, 2021
The latest global regulatory news, changes and updates affecting medical devices and technologies, including: MITA announces new health care supplier standard; Laggardly patient record response costs provider $75k; New med-tech resource platform now includes logistics; Spectrascience the subject of speculation, SEC action; HC nudging along with regulatory modernization plan.
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U.S. flag, stethoscope
FDLI Enforcement Conference

Health care ranks second on list of FCPA enforcement actions by SEC

Dec. 29, 2020
By Mark McCarty
U.S. federal government enforcement of the Foreign Corrupt Practices Act (FCPA) might not draw the attention that other matters draw, but the Securities and Exchange Commission (SEC) has made extensive use of the FCPA in 2020. SEC actions related to the FCPA may have accounted for only about 2% of the agency’s actions over the past year, but nonetheless accounted for nearly 80% of the penalties collected by the agency, and health care was second only to the oil and gas industries as the targets of FCPA action by the agency.
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