Search for: "In Re Commodity Exchange Services Co."
Results 1 - 20
of 75
Sort by Relevance
|
Sort by Date
15 May 2024, 9:01 pm
Following an investigation by the SEC’s Division of Enforcement, the Commission institutes an administrative proceeding and finds that because of the mutual conflict of interest created by the audit firm’s provision of non-audit services at reduced rates in exchange for being chosen as the company’s auditor, the audit firm and audit partner were not independent within the meaning of Rule 2-01(b) of Regulation S-X. [read post]
8 May 2024, 5:51 pm
Walters: I think you’re right about in-house counsel. [read post]
8 Apr 2024, 3:10 am
The text defines RRMs as a legal person authorised to report or to provide the service of reporting details of transactions, including orders to trade, and fundamental data to ACER on its own behalf or on behalf of market participants. [read post]
3 Apr 2024, 9:01 pm
Whether you’re here in person or participating virtually from around the country, or even overseas, I thank you for joining us. [read post]
22 Jan 2024, 9:01 pm
Ralston Purina Co.[4] Imagine that — the Commission engaging in notice-and-comment rulemaking, including a re-proposal, to address regulatory uncertainty and ambiguity following judicial decisions. [read post]
10 Jan 2024, 9:01 pm
Co., 19-cv-80633, 2019 WL 13277296, at *8-*10 (S.D. [read post]
18 Dec 2023, 2:48 pm
Currently, Regulation 4.7 exempts commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) from certain compliance requirements if their offerings are limited to qualified eligible persons (“QEPs”). [read post]
20 Jul 2023, 10:44 am
On April 17, 2023, the SEC charged Bittrex, Inc., Bittrex Global GmbH, and William Hiroaki Shihara, co-founder and former chief executive officer (collectively, “Bittrex”) for the failure to register as an exchange, a broker-dealer, and a clearing agency, pursuant to the Exchange Act. [read post]
19 Jun 2023, 9:05 pm
”.[3] More generally, regulation is a co-determined outcome. [read post]
24 May 2023, 6:37 am
The invoices Cohen submitted each stated that it was “pursuant to [a] retainer agreement” and each sought “payment for services rendered” for the relevant month of the invoice. [read post]
20 May 2023, 2:06 pm
In an amicable atmosphere, the presidents reviewed the history of friendly exchanges between China and the five Cen [read post]
14 May 2023, 7:07 pm
The effort involved the use of software to strip intellectual property from competitor’s websites — chiefly, Instagram and Snapchat — and populate its own video services with these videos in an effort to make its own services appear more popular to end users. [read post]
29 Nov 2022, 4:13 am
” In re Franklin Nat. [read post]
28 Nov 2022, 9:02 am
Goldman Sachs & Co. [read post]
21 Nov 2022, 9:02 am
Goldman Sachs & Co. [read post]
8 Sep 2022, 9:01 pm
The following year, they passed the Securities Exchange Act of 1934. [read post]
24 Aug 2022, 9:01 pm
The SEC’s Proposed Rule on Climate-Related Disclosures Federal financial services regulators have made clear their intention to use their regulatory power to protect market participants from alleged abuses relating to ESG. [read post]
25 May 2022, 9:01 pm
Compare In re NVIDIA Corp. [read post]
1 Apr 2022, 7:03 am
So, the Securities and Exchange Commission has as a result of and in the wake of the financial crisis adopted a whistleblower reward program. [read post]
10 Feb 2022, 9:03 pm
Securities and Exchange Commission (SEC) proposed changes to its whistleblower program rules. [read post]
