Search for: "Security Services v. Equity Management"
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20 Jun 2024, 9:01 pm
Last month, the U.S. smoothly shortened the settlement cycle for equities, corporate bonds, and municipal securities to one day after the transaction date (T+1). [read post]
21 May 2024, 9:01 pm
This should make the Final Rule less disruptive for managers of private funds such as private equity, credit, real estate and hedge funds than the 2016 rule, but there are certain important points for managers to focus on. [read post]
21 May 2024, 8:55 am
A business must have less than a specified amount of total secured and unsecured debt to qualify for Subchapter V. [read post]
19 May 2024, 9:05 pm
Postal Service adopts final rule aimed at reducing postage fraud. [read post]
16 May 2024, 1:24 pm
This article discusses some of these requirements and related guidance issued by the DOL, the Internal Revenue Service (IRS) and the Pension Benefit Guaranty Corporation (PBGC), as well as some related future guidance to be issued by the DOL as required by SECURE Act 2.0. 1. [read post]
15 May 2024, 9:01 pm
In an effort to secure the lucrative engagement, a senior partner at an audit firm secretly promises the issuer’s CFO that if his firm is chosen as the company’s auditor, his firm would provide tax and other permissible non-audit services to the company at reduced rates. [read post]
4 May 2024, 8:31 pm
Seilkop v. [read post]
19 Apr 2024, 9:27 am
For more information on SEC v. [read post]
18 Apr 2024, 6:26 am
The Supreme Court’s Muldrow v. [read post]
29 Mar 2024, 7:28 pm
-NAP is at its most powerful and potentially useful not as a direct manifestation of state power through law, but by embracing methods of regulatory governance that enhance the use of market levers to manage preferred behaviors. [read post]
15 Feb 2024, 9:05 pm
The nature and amounts of all compensation that has or will be awarded to, earned by or paid to the sponsor, its affiliates and any promoters for all services rendered in all capacities to the SPAC and its affiliates, as well as the nature and amounts of any reimbursements to be paid to the sponsor, its affiliates and any promoters upon the completion of a de-SPAC transaction. [read post]
13 Feb 2024, 9:09 am
This may be an individual at a service provider who assists with the entity formation. [read post]
7 Feb 2024, 9:35 am
Rosen’s article Katcoff v. [read post]
6 Feb 2024, 3:58 pm
Blackwell Security Services Religious Discrimination Litigation Settlement The settlement with Blackwell Security Services, Inc. [read post]
5 Feb 2024, 10:06 am
Co. v. [read post]
23 Jan 2024, 9:01 pm
The truth began to be revealed in March 2020 when the House Financial Services Committee released a 113 report, describing Wells Fargo’s risk management plans as “materially incomplete” and “woefully short. [read post]
16 Jan 2024, 11:33 am
DeJoy and Students for Fair Admissions, Inc. v. [read post]
22 Dec 2023, 11:00 am
See Walsh v. [read post]
19 Dec 2023, 4:48 pm
The Departments establishment of the IDR fee for post-February 20, 2025 disputes and their previous December 15, 2023 announcement of the full reopening of the IDR portal for all dispute categories are part of the Departments’ ongoing response to the August 3, 2023 Federal District court ruling in Texas Medical Association, et al. v. [read post]
18 Dec 2023, 2:48 pm
This enforcement action comes just months after Kraken agreed to cease offering or selling securities through its staking service and pay a civil penalty of $30 million, as described further in Notable Regulatory & Other Items from 2023, below. [read post]
