Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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9 Nov 2023, 9:01 pm
The legal system of the United States has its roots in the laws of England. [read post]
9 Nov 2023, 3:41 pm
The Securities and Exchange Commission (SEC) has taken decisive legal action against Tilila Walker Sumchai, a resident of Richmond, California, accusing her of orchestrating a sophisticated and egregious fraudulent securities offering. [read post]
9 Nov 2023, 4:52 am
The strike is the second time the United States has hit facilities utilized by Iranian-backed groups, following the near daily attacks on U.S. forces in Iraq and Syria by Iranian proxies since October. [read post]
8 Nov 2023, 9:05 pm
Mutual funds are set up by investment management companies, are available to the general public, and are regulated by the Securities and Exchange Commission (SEC). [read post]
3 Nov 2023, 9:30 pm
Alison LaCroix, University of Chicago Law School, discusses her participation on the Presidential Commission on the Supreme Court of the United States. [read post]
3 Nov 2023, 11:14 am
In Securities & Exchange Commission v. [read post]
3 Nov 2023, 11:09 am
In Securities & Exchange Commission v. [read post]
3 Nov 2023, 12:15 am
and Securities And Exchange Commission Amends Rules For Share Repurchase Disclosures [read post]
2 Nov 2023, 11:58 am
FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees the securities industry in the United States. [read post]
1 Nov 2023, 9:01 pm
In the United States, the Department of Justice (DOJ) continues to revamp policies to sharpen its enforcement efforts. [read post]
Wells Fargo faces SEC investigation regarding its cash sweep options for investment advisory clients
1 Nov 2023, 1:53 pm
Securities and Exchange Commission is probing Wells Fargo’s (NYSE:WFC) cash sweep options for investment advisory clients, the bank disclosed in a recent SEC filing. [read post]
1 Nov 2023, 11:41 am
”.[12] There are few different schemes of operations that companies offering fractionalized art ownership employ; Ventures such as Freeport or Masterworks offer prospective[13] buyers a purchase of class A shares under Securities and Exchange Commission (SEC), which are subjected to ordinary securities AML rules. [read post]
31 Oct 2023, 11:41 am
The Securities and Exchange Commission has charged charges against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy G. [read post]
30 Oct 2023, 1:15 pm
The Securities and Exchange Commission charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised. [read post]
30 Oct 2023, 5:40 am
The United States was one of 14 countries that voted against the resolution, with 45 countries abstaining. [read post]
27 Oct 2023, 9:25 pm
Background On 20 October 2023, the Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) issued an updated joint circular on intermediaries’ virtual asset-related activities (Joint Circular) with appendices. [read post]
27 Oct 2023, 10:41 am
As you may be aware, FINRA operates the largest securities dispute resolution forum in the United States. [read post]
26 Oct 2023, 9:01 pm
For example, an exchange with bondholders outside the United States may be made in reliance on Regulation S under the Securities Act (the exemption from the registration requirements for transactions in securities outside the United States). [read post]
26 Oct 2023, 6:31 am
And if not, then would the United States “at least allow security cleared counsel for detainees to have access to the report? [read post]
25 Oct 2023, 5:56 pm
,Focusing on Civic Education in China--The CCP's Ideological Work Comes to the Universities: 关于进一步加强和改进新形势下高校宣传思想工作的意见 (2015); 習思想滲各級教材 小學重「政治啟蒙」… [read post]
