Search for: "US Securities and Exchange Commission"
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5 Mar 2024, 6:55 am
Securities and Exchange Commission rules on potential conflicts of interest stemming from having an attorney on the board who’s employed by a law firm that receives work from the company. [read post]
5 Mar 2024, 5:40 am
As the study points out, broker-dealers, exchanges and FINRA all maintain detailed, timestamped transactional records that show when securities in one account are transferred to another account. [read post]
4 Mar 2024, 5:56 pm
Congress hoped it would help stop money-laundering by rooting out the use of anonymous shell companies and would track the flow of illicit money and protect U.S. national security interests. [read post]
4 Mar 2024, 2:57 pm
Enforcing the FCPA is a perennial priority for DOJ and the Securities and Exchange Commission (SEC), the agencies with primary responsibility for enforcing the statute. [read post]
4 Mar 2024, 7:36 am
The principles are: Safety, security and robustness. [read post]
4 Mar 2024, 5:56 am
The Marshall Islands, which used to be a U.S. [read post]
1 Mar 2024, 8:33 am
The Securities and Exchange Commission announced settling charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for trucking fleet company Ryder System Inc. [read post]
1 Mar 2024, 3:14 am
Securities and Exchange Commission’s Proposals to Improve Equity Market Structure (this includes “payment for order flow”) 2. [read post]
1 Mar 2024, 3:00 am
During a public hearing, those speaking against Simpson’s reform bill included Alabama Ethics Commission Executive Director Tom Albritton, and commission member and former state Supreme Court Justice Lyn Stuart. [read post]
1 Mar 2024, 3:00 am
” Last Friday, the Illinois Courts Commission issued an order removing Judge Robert K. [read post]
29 Feb 2024, 9:01 pm
Securities and Exchange Commission (SEC) proposed ambitious rules relating to artificial intelligence (AI) that have drawn significant commentary and criticism. [read post]
29 Feb 2024, 7:45 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on March 7 at 10 a.m. [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 6:51 am
The Securities and Exchange Commission has charged Paul A. [read post]
27 Feb 2024, 11:22 pm
Economically solvent immigrants stimulate the Spanish economy with investments, spending, and tax dollars — and in exchange, receive a long-term visa that confers with it many privileges. [read post]
