Search for: "Exchange Club"
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13 Dec 2019, 12:38 am
The BrokeAndBroker.com Blog and our companion publication the Securities Industry Commentator Feed often cover the speeches of Securities and Exchange Commission Chairs and Commissioners. [read post]
12 Dec 2019, 1:49 pm
Companies in both tech and entertainment have been described as “boys’ clubs,” with work environments that significantly disadvantage and exclude women. [read post]
5 Dec 2019, 2:22 pm
Karen Boto In the following guest post, Karen Boto, Legal Director at Clyde & Co, takes a look at the Legal Statement recently published by the UK Jurisdictions Taskforce addressing a number of legal issues cryptocurrencies and smart contracts. [read post]
21 Nov 2019, 8:44 am
Now China appears to have slightly cracked the door for some services from foreign companies like Visa, Mastercard, American Express, Discover Financial Services’ Diners Club, JCB, PayPal and Wirecard. . . . [read post]
15 Nov 2019, 6:17 am
Securities and Exchange Commission, on Friday, November 8, 2019 Tags: Audits, Compliance and disclosure interpretation, Cryptocurrency, ICOs, SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities regulation, Small firms, Transfer agents Company Hedging Policies: Observations from New Proxy Disclosures Posted by David Gordon, Dina Bernstein, and Andrew R. [read post]
12 Nov 2019, 9:20 am
The Securities and Exchange Commission (SEC) alleges that Collectors Café, an online memorabilia auction company, and its CEO Mykalai Kontilai, illegally tried to stop investors from reporting misconduct to the government in violation of the SEC’s whistleblower protection rules. [read post]
11 Nov 2019, 4:54 pm
Nicklin J likened it to a discussion which might take place about the book at a Book Club. [read post]
8 Nov 2019, 3:00 am
National/Federal A Conspiracy of Hunches: Roger Stone trial set to start this week San Francisco Chronicle – Devlin Barrett, Spencer Hsu, and Manuel Roig-Franzia (Washington Post) | Published: 11/4/2019 Roger Stone is on trial in federal court, where prosecutors plan to dive back into an episode of political chicanery, alleged lies, and conspiratorial texts that parallels the nascent impeachment inquiry into his longtime friend President Trump. [read post]
6 Nov 2019, 8:33 am
The Securities and Exchange Commission today filed charges against a New York investment adviser for operating a multimillion-dollar investment club that was actually a fraudulent Ponzi scheme targeting members of the local Haitian community as well as…Read the Full Press ReleaseHave a securities law question? [read post]
1 Nov 2019, 3:00 am
National/Federal AP Exclusive: Middleman helped Saudi give to Obama inaugural AP News – Alan Suderman and Jim Mustian | Published: 10/29/2019 When President Barack Obama was reelected in 2012, a Saudi tycoon and his business associate sent hundreds of thousands of dollars to the U.S. to help pay for the inaugural celebration and get a picture with the president. [read post]
29 Oct 2019, 5:00 pm
What the letter’s authors did not disclose—but was soon exposed by another letter, this time from a British non-governmental organization—is that four of the five authors of that letter, including Dickman, Rosie Cooney, Dilys Roe, and Maxi Pia Louis, had worked for organizations and projects that received funding from trophy hunting industry groups, including Dallas Safari Club, Safari Club International, Safari Club International Foundation, Russian… [read post]
26 Oct 2019, 4:40 am
I want someone to do what they’re supposed to do in exchange for my payment. [read post]
25 Oct 2019, 3:00 am
National/Federal ‘C’est Moi’: Mitt Romney admits to running secret Twitter account under the alias ‘Pierre Delecto’ MSN – Allyson Chiu (Washington Post) | Published: 10/21/2019 For years, Pierre Delecto’s presence on Twitter largely went unnoticed. [read post]
18 Oct 2019, 3:00 am
National/Federal After Arrest of Giuliani Associates, FEC Chair Says Commission Struggling to Enforce Rules The Hill – Justin Wise | Published: 10/14/2019 FEC Chairperson Ellen Weintraub lamented the agency’s inability to enforce campaign finance law, saying in an interview there “may well be a lot of money that is slipping into our system that we just don’t know about. [read post]
16 Oct 2019, 6:17 am
Securities and Exchange Commission’s civil claims related to the alleged Woodbridge Ponzi scheme. [read post]
12 Oct 2019, 5:37 am
In carrying out the responsibilities of the Exchange Visitor Program, the Department of State designates public and private entities to act as exchange sponsors. [read post]
10 Oct 2019, 12:42 pm
No worries, it’s a big club. [read post]
8 Oct 2019, 5:38 am
”...Like all Reddit moderators, [BlackPeopleTwitter moderators] perform tasks like approving posts and banning users; they work without pay, in exchange for mostly free rein to run their subreddit....The moderators... decided... [read post]
4 Oct 2019, 3:00 am
The Foreign Corrupt Practices Act prohibits American companies and overseas firms with stocks trading on U.S. exchanges from paying bribes to foreign officials. [read post]
13 Sep 2019, 5:49 am
Morley (Yale Law School), on Tuesday, September 10, 2019 Tags: Arbitrage, Disclosure, Exchange-traded funds, Investment Company Act, SEC, Securities regulation, Transparency Proxy Plumbing Recommendation Posted by Anne Sheehan and John C. [read post]
