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23 Aug 2024, 1:49 am
In its July 23, 2024, ruling, which Rappler obtained on August 9, 2024, the Court of Appeals Special 7th Division restored Rappler’s license and voided the shutdown order imposed by the Securities and Exchange Commission (SEC) in 2018. [read post]
23 Aug 2024, 12:15 am
Last Friday, Elevai Labs Inc. filed a preliminary information statement with the Securities and Exchange Commission disclosing that its stockholders had "approved the re-domestication of the Company from a Delaware corporation to a Nevada corporation". [read post]
22 Aug 2024, 9:05 pm
Dec. 22, 2020) and Securities and Exchange Commission v. [read post]
22 Aug 2024, 2:00 pm
Just in time for a governor to be selected to the presidential ticket, the Securities and Exchange Commission levied a big fine for violating the Pay-to-Play Rule for Investment Advisers. [read post]
22 Aug 2024, 11:46 am
Securities and Exchange Commission (SEC) recently filed an emergency action against Wells Real Estate Investment, LLC, its CEO and her husband. [read post]
22 Aug 2024, 9:58 am
Multiple regulatory bodies may be involved, such as the Securities and Exchange Commission (SEC) for securities fraud or the Internal Revenue Service (IRS) for tax evasion. [read post]
22 Aug 2024, 9:07 am
The deference afforded by Chevron allowed federal agencies like the Federal Trade Commission (FTC), the Securities and Exchange Commission (SEC), and the Consumer Financial Protection Bureau (CFPB) to autonomously update and refine their regulatory approaches in response to evolving industry conditions and consumer behaviors. [read post]
22 Aug 2024, 7:28 am
Securities and Exchange Commission (SEC) filed an emergency action this week against Wells Real Estate Investment, LLC, its CEO and her husband. [read post]
22 Aug 2024, 6:30 am
Securities and Exchange Commission’s (the “SEC” or “Commission”) exercise of its authority in important ways. [read post]
22 Aug 2024, 6:30 am
Securities and Exchange Commission’s (the “SEC” or “Commission”) exercise of its authority in important ways. [read post]
22 Aug 2024, 4:58 am
Multiple regulatory bodies may be involved, such as the Securities and Exchange Commission (SEC) for securities fraud or the Internal Revenue Service (IRS) for tax evasion. [read post]
21 Aug 2024, 9:05 pm
Securities and Exchange Commission (SEC) and Loper Bright v. [read post]
21 Aug 2024, 4:15 pm
The Securities and Exchange Commission today adopted a rule that updates the dollar threshold for a fund to qualify as a “qualifying venture capital fund” for purposes of the Investment Company Act of 1940. [read post]
21 Aug 2024, 12:05 pm
Boston-based pharmaceutical company Alexion Pharmaceuticals, Inc. it will pay US$21.5 million to settle bribery and other violations of the US Foreign Corrupt Practices Act (FCPA) charges with the US Securities and Exchange Commission (SEC). [read post]
21 Aug 2024, 11:34 am
The Securities and Exchange Commission and the Commodity Futures Trading Commission levied another $475 million in fines against broker-dealers, investment advisers and commodities firms. [read post]
21 Aug 2024, 8:13 am
The Commodity Futures Trading Commission (CFTC) has issued a ruling against Raizen Energia SA, a major Brazilian energy and sugar company, and its Swiss affiliate, Raizen Trading SA. [read post]
20 Aug 2024, 3:03 pm
To Pay Over $6M For Purportedly Profiting From Recommending Certain Mutual Funds and Money Market Funds Over Others The US Securities and Exchange Commission (SEC) is ordering investment advisory and brokerage firm Cadaret, Grant & Co. to pay over $6M for alleged conflicts of interest that allowed it to profit when clients would invest in certain mutual funds and money market funds. [read post]
20 Aug 2024, 11:05 am
The Securities and Exchange Commission today announced settled charges against New York-based registered transfer agent Equiniti Trust Company LLC, formerly known as American Stock Transfer & Trust Company LLC, for failing to assure that client securities and funds were protected against theft or misuse. [read post]
20 Aug 2024, 11:05 am
The Securities and Exchange Commission today announced settled charges against New York-based registered transfer agent Equiniti Trust Company LLC, formerly known as American Stock Transfer & Trust Company LLC, for failing to assure that client…Read the Full Press Release Have a securities law question? [read post]
20 Aug 2024, 10:05 am
The Securities and Exchange Commission today announced that it has approved two Public Company Accounting Oversight Board (PCAOB) proposals updating audit standards regarding general responsibilities of the auditor and use of technology-assisted analysis…Read the Full Press Release Have a securities law question? [read post]
