Search for: "United States Securities and Exchange Commission"
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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]
25 Oct 2023, 12:36 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]
23 Oct 2023, 1:24 pm
According to a US Securities and Exchange Commission (SEC) filing from Tesla on Monday, the DOJ has sent requests for information and subpoenaed Tesla for documents related to Tesla’s Autopilot and FSD features, as well as documents "regarding certain matters associated with personal benefits, related parties, vehicle range, and personnel decisions. [read post]
23 Oct 2023, 7:39 am
ALCOHOL, TOBACCO, & CONTROLLED SUBSTANCES · HB 1715 makes significant changes to the state’s alcohol laws including adjusting the definition of beer, allowing certain alcoholic distributors to host off-site events with approval by the ABLE Commission, and allowing licensed vendors to sell up to six bottles or cans of beer in original packaging or a reusable container for consumption on the premises. [read post]
19 Oct 2023, 9:05 pm
The Securities and Exchange Commission (SEC) adopted new rules to provide greater transparency around short selling, an activity where investors bet that a stock’s price will fall. [read post]
