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19 Oct 2016, 1:02 pm
" First examining whether the notes were covered securities, the court looked at Securities Act Section 18(b)(1)(C), which declares a security to be "covered" if it is "a security of the same issuer that is equal in seniority or that is a senior security to a security described in subparagraph (A) or (B). [read post]
23 Apr 2019, 9:53 am
On April 18, 2019, the Financial Crimes Enforcement Network (“FinCEN”) announced its first enforcement action against a peer-to-peer virtual currency exchanger, which also included its first civil monetary penalty against a virtual currency exchanger, for failure to file Currency Transaction Reports (“CTRs”). [read post]
27 Jan 2009, 1:13 pm
Bloomberg quotes the Spanish attorney (here) as saying that the Santander offer is " a step in the right direction"; he added, however, that "at first sight, it looks insuficient. [read post]
27 Mar 2007, 4:41 pm
Targeted first are exerpts from a sales training manual for Broker's Choice of America, a Colorado based insurance marketing company. [read post]
17 Oct 2019, 6:45 pm
Greenlane Holdings The first of these securities suits involving e-cigarette industry companies was filed against Greenlane Holdings, Inc., a company that distributes e-cigarettes, vaporizers and accessories through its subsidiaries. [read post]
24 May 2017, 6:20 am
The post Anti-Lawful Access Tide Continues: Security Consultation Finds Public Strongly Opposed to New Reforms appeared first on Michael Geist. [read post]
18 Dec 2009, 3:00 am
See, e.g., SIFMA's article on the need for heightened security to protect this information, noting the "millions" of profits from this activity. [read post]
18 Sep 2021, 11:59 am
To manage algorithmic governance one must first manage the people who tend to or control such systems. [read post]
6 May 2016, 3:19 pm
The new regulations include a “customer due diligence” rule requiring banks, mutual funds, securities brokers and other financial institutions to determine, verify and keep records about the actual ownership of the companies with whom they do business. [read post]
6 May 2016, 3:19 pm
The new regulations include a “customer due diligence” rule requiring banks, mutual funds, securities brokers and other financial institutions to determine, verify and keep records about the actual ownership of the companies with whom they do business. [read post]
2 Sep 2022, 8:00 am
The post Ex-Alliance Global Advisor Michael Shillin Sentenced to 7 Years Prison appeared first on The White Law Group. [read post]
10 Jul 2018, 6:40 am
In the first document, the EBA clarifies various elements of the RTS. [read post]
28 Jun 2018, 1:12 pm
Hocker Charged In $1.27 Million Ponzi Scheme appeared first on Securities Arbitration Lawyers Blog. [read post]
17 Nov 2008, 7:31 pm
Keep a paper trail and check your credit card and bank statements regularly. [read post]
27 Nov 2011, 3:08 pm
The main reason was that the big EU banks held smaller amounts of questionable mortgage-backed securities than did American (and British) banks. [read post]
30 Dec 2014, 12:14 pm
There may even be a question whether a creditor can retain a security interest on an item seemingly paid off from a “first-in-first-out” accounting perspective just by saying so in the agreement. [read post]
14 Sep 2013, 12:05 pm
In a letter to the SEC, the Presidents of the 12 Federal Reserve Banks expressed their support for a floating NAV for money market funds as the best avenue for reform of this vital sector. [read post]
In Letter to SEC, Securities Professionals Concerned that Volcker Rule Proposals Will Hurt Liquidity
11 Jan 2012, 9:12 am
The first objective has largely been achieved, maintained the association, since most of the covered institutions have shut down or spun off their proprietary trading operations. [read post]
12 May 2022, 5:50 am
(Photo by HAZEM BADER/AFP via Getty Images) The post Internal Palestinian Divisions and Their Consequences appeared first on Just Security. [read post]
18 Nov 2016, 1:00 am
Posted by Evgeny Lyandres, Boston University, on Sunday, November 13, 2016 Tags: Banks, Collusion, Firm valuation, Foreign banks, Investment banking, IPOs, Offer pricing, Public firms, Underwriting ETF Trading and Informational Efficiency of Underlying Securities Posted by Lawrence R. [read post]
