Search for: "In Re Securities and Exchange Commission"
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4 Apr 2023, 6:19 pm
Securities and Exchange Commission (“SEC”) released its proposal to amend Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information (the “Proposed Amendments”), while simultaneously issuing two additional cybersecurity-related rule proposals and re-opening the comment period for its previously proposed cybersecurity risk management rule released in February 2022. [read post]
31 Mar 2023, 1:43 pm
In Securities and Exchange Commission v. [read post]
30 Mar 2023, 10:04 am
Greg Lindberg The recent news that the US Securities and Exchange Commission (SEC) charged North Carolina-based insurance entrepreneur Greg Lindberg, his company, Northstar Financial Services Bermuda, and one of his investment officers, Christopher Herwig, is no surprise to investors who lost money to them. [read post]
29 Mar 2023, 1:00 pm
“I hope it is implemented properly, because although the Dodd-Frank Act permits anonymous and confidential whistleblowing to the Security and Exchange Commission (SEC) and to the Commodity Futures Trading Commission (CFTC), up until the AML law, the Justice Department was not required to accept confidential and anonymous whistleblowing information in any of the reward laws, including false claims that they administer. [read post]
27 Mar 2023, 9:01 pm
The Supreme Court Takes On Slack Pirani The case arises out of the New York Stock Exchange’s (“NYSE”) rule, introduced in 2018, that allows companies to go public through a direct listing. [read post]
26 Mar 2023, 9:30 am
In 2012, he was named the Deputy Secretary of the Communist Party’s Central Commission for Discipline Inspection. [read post]
24 Mar 2023, 6:07 am
The outcome of the events described in these forward-looking statements is subject to known and unknown risks and uncertainties, including (i) our ability to continue the development of Cecilia and integrate Cecilia into our broader product suite; (ii) the laws and regulations that currently apply or become applicable to our business in the jurisdictions in which we operate; and (iii) the product offerings of competitors and new market entrants, as well as the risks facing DISCO that are described… [read post]
23 Mar 2023, 9:30 pm
The Commission has taken issue not just with sales for cash, but also “giveaways. [read post]
23 Mar 2023, 7:34 am
Dodd-Frank mandated that the Securities and Exchange Commission (“SEC”) create rules within 270 days of the Act’s passage to prohibit transactions with “certain material conflicts of interest” for asset-backed securities (“ABS”). [read post]
23 Mar 2023, 6:40 am
The Security and Exchange Commission has gone from catatonic to hyperactive on cybersecurity. [read post]
22 Mar 2023, 9:01 pm
Securities and Exchange Commission. [read post]
19 Mar 2023, 9:01 pm
Securities and Exchange Commission by non-profit organization Global Witness, accusing the company of allegedly misleading investors about the amount of investment the company is directing toward renewable energy. [read post]
17 Mar 2023, 12:13 pm
Securities and Exchange Commission from whistleblowers in the UK. [read post]
16 Mar 2023, 9:05 pm
Securities and Exchange Commission (SEC) proposed cybersecurity requirements for various market entities, including certain stock market participants and exchanges. [read post]
6 Mar 2023, 9:01 pm
This conference is part of the New Special Study of the Securities Markets (the “New Special Study”),[1] which is an ambitious effort to critically re-think how the securities markets should be regulated in the 21st century. [read post]
2 Mar 2023, 9:01 pm
Securities and Exchange Commission, before the SEC’s Investor Advisory Committee in Washington, D.C. [read post]
1 Mar 2023, 12:38 pm
Alumna of the Year Joan McKown Joan McKown, LW’83, has more than 30 years of experience in Securities and Exchange Commission (SEC) enforcement and financial regulatory matters including investigations, exams, internal investigations, and disputes throughout the United States. [read post]
1 Mar 2023, 12:27 pm
They file a disclosure document with usually the SEC Securities Exchange Commission or FINRA, FINRA doesn’t, you know, give a rubber stamp to the product or stamp of approval? [read post]
1 Mar 2023, 7:55 am
Jake: Let me first say that crypto is not regulated by the Securities Exchange Commission or the Commodities Futures Trading Commission like a stock or a commodity would be. [read post]
28 Feb 2023, 3:00 pm
by Anne Idsal Austin and Jillian Marullo In a “groundbreaking” complaint, environmental NGO Global Witness asked the Securities and Exchange Commission (SEC) Climate and ESG Task Force to investigate oil major Shell for possible violations of federal securities laws. [read post]
