Search for: "Security and Exchange Commission"
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14 May 2024, 12:39 pm
The Securities and Exchange Commission and the U.S. [read post]
14 May 2024, 12:17 pm
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover, for breaching their fiduciary duties by failing to disclose conflicts of interest and making misleading statements to their clients. [read post]
14 May 2024, 11:55 am
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and…Read the Full Press Release Have a securities law question? [read post]
14 May 2024, 10:15 am
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover, for breaching their fiduciary duties by failing to…Read the Full Press Release Have a securities law question? [read post]
13 May 2024, 9:05 pm
Indeed, firms are required under the securities laws to disclose material nonpublic information, at least when they raise capital. [read post]
13 May 2024, 9:01 pm
Securities and Exchange Commission (SEC) announced that UK- and Australia-based mining company Rio Tinto had agreed to pay a $15 million civil penalty to resolve alleged violations of the FCPA. [read post]
13 May 2024, 8:58 pm
In addition, any person who will directly or indirectly hold more than 10 per cent. of the total issued shares in the virtual bank (Significant Shareholder) must possess certain qualifications, including (but not limited to): a good corporate governance framework and reputation; good operational performance and a stable financial status; no history of being accused, charged, or subject to lawsuits related to fraud or corruption by any authority such as the BOT, the Securities and… [read post]
13 May 2024, 3:42 pm
Securities Securities Fraud Claim Duty to Disclose Pure Omissions Private Action Under Rule 10b–5(b) Section 10(b) of the Securities Exchange Act of 1934 Circuit Split Securities and Exchange Commission (SEC) Rule 10b–5(b) makes it unlawful to omit material facts in connection with buying or selling securities when that omission renders “statements… [read post]
13 May 2024, 8:51 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:50 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:45 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:41 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:05 am
Today the Securities and Exchange Commission and the U.S. [read post]
13 May 2024, 6:07 am
SEC, 568 U.S. 442 (2013) (holding that the discovery rule does not apply to the statute of limitations for civil penalty actions brought by the Securities and Exchange Commission under the Investment Advisers Act of 1940); Rotkiske v. [read post]
12 May 2024, 6:30 am
Securities and Exchange Commission (“SEC”) has been increasingly aggressive in bringing charges for violations of federal securities laws resulting, at least in part, from the risks associated with remote work environments. [read post]
12 May 2024, 6:30 am
Securities and Exchange Commission (“SEC”) has been increasingly aggressive in bringing charges for violations of federal securities laws resulting, at least in part, from the risks associated with remote work environments. [read post]
10 May 2024, 9:31 pm
Securities and Exchange Commission, 585 U.S. __ (2018) holds that only officers of the United States can take actions that affect the life, liberty, and property of citizens. [read post]
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]
