Search for: "US Securities and Exchange Commission"
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12 Apr 2024, 4:38 am
Security Council. [read post]
11 Apr 2024, 4:57 am
Securities and Exchange Commission officials convened at the SEC Speaks Conference in Washington, D.C., to discuss the Commission’s accomplishments in fiscal year 2023 and announce its priorities for 2024. [read post]
9 Apr 2024, 10:34 am
Over the past 2.5 years the Securities and Exchange Commission has charged 60 investment advisory firms and broker-dealers with violations of the record-keeping requirements and collected penalties approaching $2 billion. [read post]
9 Apr 2024, 2:34 am
This webinar, featuring a discussion with members of our US ESG team, will include a closer look at the new US Securities and Exchange Commission (SEC) and Californian ESG legislation from a financial services perspective. [read post]
8 Apr 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]
8 Apr 2024, 4:38 pm
They will then try to determine whether the gun is stolen or if it was used in the commission of a crime, and they may be able to locate the rightful owner. [read post]
8 Apr 2024, 4:38 pm
They will then try to determine whether the gun is stolen or if it was used in the commission of a crime, and they may be able to locate the rightful owner. [read post]
8 Apr 2024, 2:03 pm
The challenge is for Caricom to plot a course which incorporates the development of innovation, technology and intellectual property rights which will propel the region to a greater scale of global competitiveness, and even more important, the creation of technologies which can assist the region with overcoming significant challenges such as food security and climate change. [read post]
8 Apr 2024, 8:23 am
On 4 April 2024, the International Organisation for Securities Commissions (IOSCO) published a Consultation Report titled Evolution in the Operation, Governance and Business Models of Exchanges: Regulatory Implications and Good Practices. [read post]
8 Apr 2024, 3:10 am
For completeness, REMIT II defines OMPs as an energy exchange, an energy broker, an energy capacity platform or any other system of facility in which multiple third-party buying or selling interests in wholesale energy products interact in a manner that may result in a transaction. 5. [read post]
8 Apr 2024, 12:15 am
Securities and Exchange Commission's Director of Enforcement celebrated a jury verdict in its insider trading case against Matthew Panuwat: As we’ve said all along, there was nothing novel about this matter, and the jury agreed: this was insider trading, pure and simple. [read post]
7 Apr 2024, 9:05 pm
Securities and Exchange Commission Chair Gary Gensler interpreted the FAIRR Act as proposing to impose a strict liability standard. [read post]
7 Apr 2024, 9:01 pm
Securities and Exchange Commission (SEC) finalised rules mandating that companies record and disclose a range of climate risks and environmental data. [read post]
5 Apr 2024, 1:06 pm
The Washington Post detailed how financial watch dog FINRA, the Security and Exchange Commission, Department of Homeland Security, FBI and Miami Policy cooperated in a cross-border investigation leading to charges by the SEC. [read post]
5 Apr 2024, 4:54 am
U.S. officials believe negotiating a pause in the fighting and the exchange of Israeli hostages held in Gaza for Palestinian prisoners held in Israel is the only way to secure a temporary cease-fire and increase humanitarian aid. [read post]
4 Apr 2024, 6:02 am
In response, they passed the Securities Act of 1933, the Securities Exchange Act of 1934, and established the Securities and Exchange Commission, he noted.The need for the SEC to promote these public goods is evergreen, but technology and business models “are everchanging,” Gensler said. [read post]
3 Apr 2024, 9:03 pm
Let me start by reminding you that my views are my own as a Commissioner and not necessarily those of the Securities and Exchange Commission (“SEC”) or my fellow Commissioners. [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
3 Apr 2024, 12:28 pm
This proposal stipulates that freelancers may only be subjected to noncompete agreements if they receive compensation in exchange. [read post]
2 Apr 2024, 1:03 pm
Securities and Exchange Commission (“SEC”) has pursued investigations of insider trading involving over sixty parties. [read post]
