Search for: "In Re Securities and Exchange Commission"
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6 Feb 2023, 9:01 pm
In addition, the staff of the Securities and Exchange Commission has recently made written requests to some public companies regarding their disclosure of risk oversight. [read post]
6 Feb 2023, 1:37 pm
Securities and Exchange Commission (SEC) in implementing Section 404. [read post]
2 Feb 2023, 9:05 pm
Securities and Exchange Commission (SEC) proposed a rule to update its ethics compliance regulations for its own employees. [read post]
2 Feb 2023, 10:55 am
A lot of times brokers are interested in their own in their own interest, how much commissions can I generate? [read post]
1 Feb 2023, 9:01 pm
The passage of the Securities Act and the Exchange Act, and the authority that Congress gave to the Commission, reflected an intentional and marked departure from that dark default. [read post]
1 Feb 2023, 6:03 pm
Securities and Exchange Commission; Tom Manganello (U.S. [read post]
31 Jan 2023, 5:23 am
Last week, we reported that the Securities and Exchange Commission (SEC) is currently examining the activities of registered investment advisers over whether they’re following applicable guidelines around the custody of customer digital assets. [read post]
30 Jan 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has re-proposed a new rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act). [read post]
30 Jan 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has re-proposed a new rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act). [read post]
30 Jan 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has re-proposed a new rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act). [read post]
30 Jan 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has re-proposed a new rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act). [read post]
30 Jan 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has re-proposed a new rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act). [read post]
30 Jan 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has re-proposed a new rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act). [read post]
30 Jan 2023, 6:58 pm
The first step in that decision-making process was to secure a plea deal with David Halls requiring him to testify against Baldwin and Gutierrez-Reed in exchange for a reduced charge of negligent use of a deadly weapon and six months probation. [read post]
30 Jan 2023, 9:41 am
One tactic was to suggest to the customer that he sell a specific security, then re-buy it several days or weeks later. [read post]
27 Jan 2023, 11:38 am
The SEC is Reportedly Investigating Registered Investment Advisors (RIAs) re Rules for Crypto-assset Custody The Securities and Exchange Commission (SEC) is reportedly examining the activities of registered investment advisers over whether they’re following applicable guidelines around the custody of customer digital assets, according to an article by Reuters. [read post]
27 Jan 2023, 5:09 am
The Securities and Exchange Commission has also set goals to enact new cybersecurity regulations. [read post]
26 Jan 2023, 9:30 am
Tonkovic, J.D.In its first open meeting of 2023, the SEC unanimously approved the re-proposal of a 2011 rule prohibiting certain conflicts of interest in the context of asset-backed securities. [read post]
20 Jan 2023, 6:46 am
The Securities and Exchange Commission (SEC) Thursday charged Nexo Capital Inc. with failing to register a security that allowed consumers to earn interest on cryptocurrency. [read post]
20 Jan 2023, 5:55 am
They also should agree to appoint the transitional justice commission, created in a 2021 law but never formed, and other relevant commissions to coordinate strategy and reforms across the sector. [read post]
