Search for: "U.S. Securities and Exchange Commission"
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7 Jun 2024, 1:18 pm
On June 10, 2022, the Securities and Exchange Commission (SEC) filed a civil lawsuit against Michael Mooney, Britt Wright, and Penny Flippen, former investment advisers for Southport Capital, in the U.S. [read post]
7 Jun 2024, 10:50 am
The Securities and Exchange Commission charged three persons with fraud for selling unregistered membership interests in LLCs that purported to invest in shares of pre-IPO companies, first on behalf of StraightPath Venture Partners LLC, the subject of the Commission’s emergency action in May 2022, and, later, on behalf of Legend Venture Partners LLC, the subject of the Commission’s emergency action in June 2023. [read post]
7 Jun 2024, 3:30 am
Court of Appeals for the Fifth Circuit vacated the “Private Funds Rules,” which the Securities and Exchange Commission (the “SEC”) adopted on August 23, 2023. [read post]
6 Jun 2024, 9:05 pm
Securities and Exchange Commission from 2018 to 2020. [read post]
6 Jun 2024, 9:05 pm
Biden vetoed a resolution to preserve a Securities and Exchange Commission (SEC) rule requiring institutions to record digital assets as liabilities on their balance sheets. [read post]
6 Jun 2024, 2:03 pm
Facebook now petitions for review, supported by “friend of the court” briefs from law professors and former Securities and Exchange Commission officials, by the Chamber of Commerce and other industry groups, and by the Washington Legal Foundation. [read post]
5 Jun 2024, 9:05 pm
Securities and Exchange Commission from 2018 to 2020. [read post]
5 Jun 2024, 3:38 pm
” FINRA, the regulator that oversees brokers and brokerage firms, and the Securities and Exchange Commission may impose regulatory actions against a broker-dealer such as censures, fines, suspensions and restitution, among others. [read post]
5 Jun 2024, 9:58 am
More broadly, the DOJ and Securities and Exchange Commission (SEC) have jurisdiction over foreign companies if they issue stock for American Depositary Receipts (ADRs). [read post]
5 Jun 2024, 8:31 am
Firstly, despite ransomware attacks and other cyber breaches against businesses continuing apace, most US-listed companies are unprepared for the Securities and Exchange Commission’s new rules on reporting their cyber readiness and any attacks they suffer, defense counsels told us. [read post]
4 Jun 2024, 1:54 pm
One in the U.S. [read post]
2 Jun 2024, 9:01 pm
And you can even self-report when you think there is a possible securities law violation. [read post]
1 Jun 2024, 11:14 pm
Securities and Exchange Commission, Live Nation said it was “working to mitigate risk to our users” and was cooperating with law enforcement officials. [read post]
1 Jun 2024, 5:00 am
It doesn’t matter Israel prefers commissions to prosecutions. [read post]
31 May 2024, 11:27 am
” The SEC’s complaint charges Murray and Trillium with violating the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. [read post]
31 May 2024, 8:13 am
Department of Commerce, Consumer Financial Protection Bureau, and the Securities and Exchange Commission regarding data and AI. [read post]
31 May 2024, 5:26 am
Securities and Exchange Commission Chair Gary Gensler said the change will make the U.S. financial markets more resilient. [read post]
28 May 2024, 11:40 am
Securities and Exchange Commission’s record-keeping investigations and have begun discussions with the agency’s enforcement staff about potential resolutions. [read post]
28 May 2024, 6:41 am
Securities and Exchange Commission announced the adoption of amendments to Regulation S-P that were proposed last year. [read post]
27 May 2024, 10:00 pm
This note also includes discussion on existing and proposed disclosure requirements of the Securities and Exchange Commission (SEC) related to ESG matters. [read post]
