Search for: "Securities And Exchange Commission"
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10 May 2024, 1:06 pm
Securities and Exchange Commission (SEC) under the highly successful Dodd-Frank Act,” Kohn writes. [read post]
10 May 2024, 11:10 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
10 May 2024, 6:45 am
This is the second installment of a four-part series dealing with climate change in Colorado. [read post]
10 May 2024, 3:00 am
The Miami Herald has reported the mayor received a $10,000 monthly retainer and was also promised commissions if he helped woo investors, find real estate, and secure financing for Kapoor’s projects in Miami and elsewhere. [read post]
9 May 2024, 10:35 pm
Securities Exchange Commission received when they tried to regulate cryptocurrencies after years of letting the industry grow unchecked. [read post]
9 May 2024, 3:08 pm
On March 18, 2024, the Securities and Exchange Commission (the SEC) announced that it had settled charges against two registered investment advisers (RIAs) related to false and misleading representations about each RIA’s alleged use of artificial intelligence (AI) in effecting financial services, conduct which the SEC coined as “AI Washing. [read post]
9 May 2024, 2:00 pm
Then they realized it was a scam that might play out by there being an exchange of bank info or something to that effect. [read post]
9 May 2024, 9:32 am
After the exchange became heated, defendant shot and killed the driver. [read post]
9 May 2024, 3:00 am
That’s not the case, and this Dorsey blog provides a reminder of the potentially calamitous consequences to the issuer associated with paying an unlicensed finder: The Securities and Exchange Commission (SEC) has taken the position that a person receiving a finder’s fee with respect to a purchase of securities by a U.S. investor will, in many cases, be treated as having acted as a “broker” within the meaning of federal securities… [read post]
8 May 2024, 10:30 pm
This could only be resolved if Article 5 were also amended to exclude from its scope not only social security but also youth mobility. [read post]
8 May 2024, 7:20 pm
The Securities and Exchange Commission (SEC) charged Woods and his firm, Livingston Group Asset Management Company, for securities fraud in August 2021, uncovering a $110 million Ponzi scheme. [read post]
8 May 2024, 12:07 pm
At least until the Securities and Exchange Commission got involved and accused Mr. [read post]
8 May 2024, 11:12 am
The Securities and Exchange Commission today announced settled charges against Eastone Equities, LLC (“Eastone”), which funds and develops real estate projects, and its owner Kevin Yu, arising out of an unregistered offering of $1.4 million in promissory notes in 2019. [read post]
8 May 2024, 8:31 am
The Securities and Exchange Commission (SEC) has sent clear signals that it will pursue companies for “AI washing” — touting the use of artificial intelligence in ways that are false or misleading. [read post]
8 May 2024, 7:52 am
Elsewhere, the Second Circuit affirmed the dismissal of Exchange Act claims against Coinbase due to insufficiently pleaded transaction-specific contracts. [read post]
7 May 2024, 11:37 am
Don’t include the Securities and Exchange Commission logo on your website. [read post]
7 May 2024, 7:35 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
7 May 2024, 12:15 am
On May Day, the plaintiffs filed their opposition to California's motion to dismiss which highlights some differences between the California statutes and the climate disclosure rule recently adopted by the Securities and Exchange Commission (and also recently challenged): But even still, the State overstates any overlap. [read post]
6 May 2024, 9:05 pm
Public companies face a wide range of legal claims, yet the Financial Accounting Standards Board (FASB) and the Securities and Exchange Commission (SEC) have questioned whether public companies provide sufficient disclosure to warn investors of potential losses from these claims. [read post]
6 May 2024, 11:28 am
Enlarge (credit: NurPhoto / Contributor | NurPhoto) Continuing its crackdown on cryptocurrency exchanges, the Securities and Exchange Commission (SEC) may potentially sue Robinhood Markets over securities violations alleged in the popular investing app's crypto unit, Robinhood Crypto said Monday. [read post]
