Search for: "In Re Securities and Exchange Commission"
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19 Jan 2023, 9:03 pm
Securities and Exchange Commission and the Federal Trade Commission to increase oversight by adopting disclosure rules. [read post]
19 Jan 2023, 12:49 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
18 Jan 2023, 9:05 am
As the Securities and Exchange Commission recently explained in an investor bulletin, hedge funds pool investors’ contributions into a single fund and then find investments to best maximize their collective asset. [read post]
18 Jan 2023, 8:12 am
The Securities and Exchange Commission (SEC) Commission issued a new bulletin educating investors about performance claims. [read post]
17 Jan 2023, 2:03 pm
The Securities and Exchange Commission (SEC) obtained judgments against an investment adviser and its CEO for inflating the performance value of the funds. [read post]
17 Jan 2023, 6:11 am
Securities and Exchange Commission’s lawsuit to force Covington & Burling to cough up the names of about 300 clients whose confidential information was exposed to hackers in a 2020 cyberattack. [read post]
14 Jan 2023, 6:33 pm
Now the Securities and Exchange Commission (SEC) is charging Easterbrook with lying to and misleading investors by failing to disclose the extent of his romantic relationships with his employees. [read post]
5 Jan 2023, 6:17 pm
The Exchange Act voids “[a]ny condition, stipulation, or provision binding any person acquiring any security to waive compliance with any provision of this title. [read post]
3 Jan 2023, 10:08 am
(A-Mark), both California companies, for fraud in connection with off-exchange retail commodity transactions; failing to register as a Futures Commission Merchant (FCM); and engaging in illegal off-exchange retail commodity transactions. [read post]
27 Dec 2022, 1:19 pm
If you’re purchasing something from a social media site, don’t pay until you’ve seen the item and can do a mutual exchange of the item and payment. [read post]
22 Dec 2022, 5:36 am
Securities and Exchange Commission (SEC), Hartman, a non-traded real estate investment trust, stated that its management is in “substantial doubt about the company’s ability to continue as a going concern,” according to thediwire.com. [read post]
21 Dec 2022, 2:37 pm
The company is apparently considering “mandating certain security requirements,” verifying outside apps in some way (..) [read post]
21 Dec 2022, 11:18 am
Colville Confederated Tribes (Restitution) State Courts Bulletin https://www.narf.org/nill/bulletins/state/2022.html In re Adrian L. [read post]
21 Dec 2022, 6:03 am
The Commission would have authority to alter the dollar amounts in the definition of “eligible privately-held company. [read post]
19 Dec 2022, 6:49 am
In May 2022, the Securities and Exchange Commission (SEC) announced that it had filed an emergency action to freeze the assets of StraightPath Venture Partners and other defendants. [read post]
19 Dec 2022, 2:31 am
The draft adequacy decision found that the US provides an adequate level of protection for personal data exchanged in transatlantic data transfers. [read post]
16 Dec 2022, 12:16 pm
The Securities and Exchange Commission proposes 1,656 pages of regulation that would re-engineer the equities market in the name of fixing a nonexistent problem. https://t.co/GXKBfB5yl3 via @WSJ— Steve Bainbridge (@PrawfBainbridge) December 16, 2022 "An SEC Inspector General report recently warned that @GaryGensler's move-fast-and-break-things agenda is overwhelming staff and diverting resources from investor protection. [read post]
15 Dec 2022, 9:05 pm
Securities and Exchange Commission advanced several proposals to change stock market rules. [read post]
15 Dec 2022, 8:00 am
., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
15 Dec 2022, 4:00 am
., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
