Search for: "United States Securities and Exchange Commission"
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5 Sep 2023, 9:05 pm
Supreme Court next term of Securities and Exchange Commission v. [read post]
4 Sep 2023, 5:44 am
(Please note that these figures do not include state court securities class action lawsuit filings.) [read post]
1 Sep 2023, 1:20 pm
According to the Securities and Exchange Commission (SEC), at least 13 Peruvian whistleblowers have joined the rank of the over 5,000 international whistleblowers to use the Dodd-Frank Act to report a violation of U.S. securities laws. [read post]
1 Sep 2023, 4:00 am
A jury found Ridley-Thomas guilty of bribery for soliciting favors for his son from the dean of the University of Southern California’s School of Social Work, in exchange for helping secure county contracts for the school. [read post]
29 Aug 2023, 7:33 am
United States. [read post]
29 Aug 2023, 5:55 am
In the wake of anti-racism demonstrations sparked by the murder of George Floyd in the United States, Republican lawmakers in the United States have introduced a litany of bills to punish public dissent. [read post]
29 Aug 2023, 2:23 am
RELATIONS – CHINA The United States and China agreed to establish a bilateral forum to discuss export control measures to reduce misunderstanding of national security policies, Commerce Secretary Gina Raimondo said yesterday. [read post]
28 Aug 2023, 7:36 am
The Securities and Exchange Commission announced that 3M Company agreed to pay more than $6.5 million to resolve charges that it violated the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA).The SEC’s order finds that employees of a 3M wholly owned subsidiary based in China arranged for Chinese government officials employed by state-owned health care facilities to attend overseas conferences, educational events,… [read post]
27 Aug 2023, 6:25 am
United States, 51 F.4th 1289, 1293 (11th Cir. 2022))). [read post]
24 Aug 2023, 9:05 pm
Securities and Exchange Commission (SEC) voted to reform transparency rules for private equity and hedge funds, which together manage about $20 trillion in assets. [read post]
24 Aug 2023, 1:17 pm
Securities and Exchange Commission is investigating whether Inotiv and several of its subsidiaries violated the U.S. [read post]
24 Aug 2023, 8:20 am
The FCPA is extremely powerful because it allows an individual to file a report anonymously and confidentially with the United States Securities and Exchange Commission (SEC), effectively protecting whistleblowers from retaliation. [read post]
21 Aug 2023, 8:12 am
The Securities and Exchange Commission charged Titan Global Capital Management USA LLC, a New York-based FinTech investment adviser, for using hypothetical performance metrics in advertisements that were misleading. [read post]
21 Aug 2023, 7:47 am
He is a public member of the Administrative Conference of the United States, and last year he was appointed to the Presidential Commission on the Supreme Court of the United States. [read post]
21 Aug 2023, 7:47 am
He is a public member of the Administrative Conference of the United States, and last year he was appointed to the Presidential Commission on the Supreme Court of the United States. [read post]
18 Aug 2023, 1:09 pm
” At least three agencies—the FTC, the Securities and Exchange Commission (SEC), and the Consumer and Financial Protection Bureau (CFPB)—are all in a race, as is Congress. [read post]
16 Aug 2023, 10:52 am
Here is the authors’ article. ****************** Introduction The United States Supreme Court recently granted Certiorari in a closely watched case that could have significant consequences for the Securities and Exchange Commission (SEC) and certain other federal administrative agencies. [read post]
16 Aug 2023, 8:31 am
FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees the securities industry in the United States. [read post]
16 Aug 2023, 8:09 am
Person: This term includes U.S. citizens and lawful permanent residents, U.S. entities and their non-U.S. branches, and any person in the United States. [read post]
15 Aug 2023, 9:01 pm
In the United States, the main replacement for LIBOR is the Secured Overnight Financing Rate. [read post]
