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12 Apr 2024, 11:27 am
Key Investment Services LLC (KIS) and KeyBanc Capital Markets Inc. agreed to pay a $10 million penalty. [read post]
9 Apr 2024, 2:41 pm
Lyft Inc., UI Dec. [read post]
8 Apr 2024, 6:41 am
” ““An estate planning Lawyer is the President of a small non-profit social service agency with limited financial means. [read post]
5 Apr 2024, 6:00 am
American Express Co., Discover Financial Services, and Visa Inc. soon followed. . . . [read post]
3 Apr 2024, 9:03 pm
Since I gave that speech, a particularly pernicious weed has sprung up in the secret garden: Staff Accounting Bulletin (“SAB”) 121 and related guidance.[2] The Office of the Chief Accountant (“OCA”) prepared the SAB without the input of the full Commission, but, as with other SABs, staff follows SAB 121 in administering the disclosure requirements of the federal securities laws.[3] SAB 121 directs public companies that safeguard crypto assets for clients to put a… [read post]
3 Apr 2024, 9:01 pm
In the decade since we brought our first crypto enforcement actions, our approach has been consistent, principled, and tethered to the federal securities laws and legal precedent. [read post]
2 Apr 2024, 9:04 am
Attorney for the Southern District of Texas, Cardiac Imaging Inc. [read post]
29 Mar 2024, 11:30 am
, Nampa Charter School, Inc. v. [read post]
29 Mar 2024, 6:00 am
“More financial activity has moved outside the banking sector in recent years, and a lot of that activity isn’t under direct federal oversight. [read post]
29 Mar 2024, 4:00 am
It is being funded by Make America Great Again Inc., a super PAC that can raise unlimited amounts of money. [read post]
25 Mar 2024, 12:18 pm
Seagram & Sons, Inc. [read post]
25 Mar 2024, 6:38 am
About Solutions Laws Press, Inc. [read post]
25 Mar 2024, 2:12 am
This time, however, even faster speed-talking is used to make important disclosures and disclaimers in a radio commercial for a Boston-based financial advisory service. [read post]
19 Mar 2024, 7:00 am
About Solutions Laws Press, Inc. [read post]
19 Mar 2024, 4:25 am
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and other… [read post]
18 Mar 2024, 7:37 am
A federal district court recently granted the United States’ Motion for Default Judgment against the quick-service burger restaurant franchise concept, Burgerim Group USA, Inc. and its owner (“Burgerim”). [read post]
17 Mar 2024, 5:42 pm
HIPAA Security & Breach Notification Responsibilities While most health care providers and health plans expect Choice Health and other UHG entities to face potential data breach and breach notification responsibilities and liabilities under HIPAA and other federal and state data privacy and cybersecurity laws, many health plan fiduciaries, sponsors, insurers, and administrative or other service providers have given limited consideration to how the February 21, 2024, cyber… [read post]
10 Mar 2024, 3:00 pm
MyWebGrocer, Inc. [read post]
8 Mar 2024, 11:31 am
Inc., Cambridge Investment Research Inc., Key Investment Services LLC, Lincoln Financial Advisors Corporation, U.S. [read post]
8 Mar 2024, 6:00 am
It’s the Federal Trade Commission’s so-called click-to-cancel button. [read post]
