Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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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]
19 Oct 2023, 8:51 am
Securities and Exchange Commission (SEC) adopted enhanced requirements regarding material cybersecurity incidents and reporting. [read post]
19 Oct 2023, 6:07 am
“Digital financial asset” does not include any of the following: A transaction in which a merchant grants, as part of an affinity or rewards program, value that cannot be taken from or exchanged with the merchant for legal tender, bank or credit union credit, or a digital financial asset; a digital representation of value issued by or on behalf of a publisher and used solely within an online game, game platform or family of games sold by the same publisher or offered on… [read post]
18 Oct 2023, 7:43 am
More recently, the FBI and the Securities and Exchange Commission have cautioned investors regarding this issue. [read post]
18 Oct 2023, 6:10 am
Safety and security teams are being downsized or sidelined to bring AI products to market. [read post]
18 Oct 2023, 3:15 am
For example, in the United States, the Consumer Financial Protection Bureau, Department of Justice, Equal Employment Opportunity Commission, Food and Drug Administration, Federal Trade Commission and the Securities and Exchange Commission each has issued guidance or otherwise indicated through enforcement activity that they view AI as within their respective purview of current regulatory and enforcement authority. [read post]
16 Oct 2023, 12:15 am
A security registered with or exempt from registration with the United States Securities and Exchange Commission or a security qualified with or exempt from qualifications with the DFPI. [read post]
13 Oct 2023, 4:00 am
In exchange, he allegedly used his influence to protect three businesspeople and benefit the government of Egypt. [read post]
11 Oct 2023, 11:17 am
Back in March, the Supreme Court invited the solicitor general to file a brief expressing the views of the United States on these cases. [read post]
11 Oct 2023, 8:12 am
While other agencies, such as the Securities and Exchange Commission (SEC), have set-up highly publicized and effective whistleblower award programs which have collected billions of dollars and awarded hundreds of millions of dollars to whistleblowers, FWS has continued to pay-out small awards with little to no publicity. [read post]
11 Oct 2023, 3:48 am
The United States is considering sending a second aircraft carrier, the U.S.S. [read post]
11 Oct 2023, 12:15 am
For an interesting analysis of the constitutionality of mandated ESG disclosure by the Securities and Exchange Commission, see this post by Professor Sean Griffith. [read post]
10 Oct 2023, 9:01 pm
For example, how clear is the analytical framework with respect to cash-settled derivative securities that the Release imports from the 2011 security-based swaps release? [read post]
9 Oct 2023, 1:59 pm
In addition, on August 4, 2023 the Securities and Exchange Commission (“SEC”) published its final rule on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure in the Federal Register. [read post]
9 Oct 2023, 1:52 pm
In its filing with the United States Securities and Exchange Commission, Flowers Foods reported that, under the settlement, a $55 million fund would be established to cover payments to a class of about 475 plaintiffs and for service awards to the named plaintiffs as well as for attorneys’ fees and administrative expenses. [read post]
9 Oct 2023, 6:32 am
Securities and Exchange Commission (the “SEC”) amended rules relating to insider trading arrangements and related disclosures. [read post]
9 Oct 2023, 6:32 am
Securities and Exchange Commission (the “SEC”) amended rules relating to insider trading arrangements and related disclosures. [read post]
