Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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24 Jul 2023, 11:28 am
FINRA is a non governmental organization that regulates the securities industry in the United States. [read post]
24 Jul 2023, 5:55 am
Efrat Sopher from the United Kingdom and Sonat Birnecker Hart from the United States; Konstanty Gebert, a prominent Polish-Jewish journalist and author who had been a war correspondent during the 1990s in the former Yugoslavia; members of the WJC’s Jewish Diplomatic Corps, the organization’s flagship future leadership division, from Bosnia, Germany, Israel, Sweden, the United Kingdom and the United States; and members of the… [read post]
21 Jul 2023, 7:53 am
In the United States, a company can resolve an FCPA case through a DPA. [read post]
20 Jul 2023, 10:00 pm
In the United States, the industry awaits a final ESG disclosure rule for funds and advisers from the US Securities and Exchange Commission, while the US Department of Labor recently eased ERISA-regulated retirement plan fiduciaries’ paths to considering certain ESG factors in making investment decisions. [read post]
20 Jul 2023, 10:00 pm
In the United States, the industry awaits a final ESG disclosure rule for funds and advisers from the US Securities and Exchange Commission, while the US Department of Labor recently eased ERISA-regulated retirement plan fiduciaries’ paths to considering certain ESG factors in making investment decisions. [read post]
20 Jul 2023, 10:00 pm
In the United States, the industry awaits a final ESG disclosure rule for funds and advisers from the US Securities and Exchange Commission, while the US Department of Labor recently eased ERISA-regulated retirement plan fiduciaries’ paths to considering certain ESG factors in making investment decisions. [read post]
20 Jul 2023, 10:00 pm
In the United States, the industry awaits a final ESG disclosure rule for funds and advisers from the US Securities and Exchange Commission, while the US Department of Labor recently eased ERISA-regulated retirement plan fiduciaries’ paths to considering certain ESG factors in making investment decisions. [read post]
20 Jul 2023, 10:00 pm
In the United States, the industry awaits a final ESG disclosure rule for funds and advisers from the US Securities and Exchange Commission, while the US Department of Labor recently eased ERISA-regulated retirement plan fiduciaries’ paths to considering certain ESG factors in making investment decisions. [read post]
20 Jul 2023, 10:00 pm
In the United States, the industry awaits a final ESG disclosure rule for funds and advisers from the US Securities and Exchange Commission, while the US Department of Labor recently eased ERISA-regulated retirement plan fiduciaries’ paths to considering certain ESG factors in making investment decisions. [read post]
20 Jul 2023, 10:45 am
Broker-dealers may face various regulatory actions from FINRA and the Securities and Exchange Commission, including censures, fines, suspensions, and restitution. [read post]
20 Jul 2023, 10:44 am
The complaint alleged that since 2013, Ripple issued over 14.6 billion units of its native token, XRP, in exchange for consideration of over $1.38 billion without registering the offer and the sale of such token with the SEC. [read post]
20 Jul 2023, 2:09 am
FINRA is a non-governmental organization that regulates the securities industry in the United States. [read post]
19 Jul 2023, 9:05 pm
The Securities and Exchange Commission regulations on climate disclosure, first proposed in March 2022 and likely to be issued in final form in October 2023,[1] have drawn considerable controversy and face an uncertain fate in the inevitable litigation.[2] Much less attention has gone to two bills that are moving toward adoption in California. [read post]
19 Jul 2023, 7:51 am
Wells Fargo in 2020 acknowledged the widespread sales practices misconduct within the Community Bank and paid a $3 billion penalty in connection with agreements reached with the United States Attorneys’ Offices for the Central District of California and the Western District of North Carolina, the Justice Department’s Civil Division, and the Securities and Exchange Commission. [read post]
18 Jul 2023, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I’m not speaking on behalf of my fellow Commissioners or the SEC staff. [read post]
16 Jul 2023, 7:48 pm
Attorney’s Office for the Eastern District of New York, along with the Securities and Exchange Commission (SEC) and seven state regulators, filed charges against GPB Capital and its executives on February 4, 2021. [read post]
12 Jul 2023, 2:23 pm
The Securities and Exchange Commission (“SEC”) published an update to its rulemaking agenda, indicating that its previously-proposed cyber rules addressing disclosure requirements for incidents at publicly traded companies and registered investment advisors and funds may not be approved until October 2023. [read post]
11 Jul 2023, 7:37 pm
The attitude, one that smells as strongly as a large fish left out in the noonday sun in the Caribbean in summer, was exceptionally vocalized by the core of leadership of the American vanguard:Pix Credit movie Brazil (1985) hereHowever, the United States and Germany were urging caution. [read post]
11 Jul 2023, 10:09 am
” The federal government — represented by officials from the Solicitor General’s Office, the Department of Labor and the Securities and Exchange Commission — as well as Senators Chuck Grassley (R-IA) and Ron Wyden (D-OR) likewise filed amicus briefs arguing for a “contributing factor” standard of proof. [read post]
11 Jul 2023, 2:15 am
OTHER GLOBAL DEVELOPMENTS The European Commission has announced a pact with the United States to allow easier legal transfer of personal “necessary and proportionate” data between the E.U. and the United States. [read post]
