Search for: "United States Securities and Exchange Commission"
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16 May 2024, 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 am not speaking on behalf of my fellow Commissioners or the staff. [read post]
13 May 2024, 9:05 pm
He stated that regulators were aware of the bank’s problems as early as December 2021 and gave multiple warnings to bank management throughout 2022. [read post]
13 May 2024, 9:01 pm
Securities and Exchange Commission (SEC) announced that UK- and Australia-based mining company Rio Tinto had agreed to pay a $15 million civil penalty to resolve alleged violations of the FCPA. [read post]
13 May 2024, 3:42 pm
Securities Securities Fraud Claim Duty to Disclose Pure Omissions Private Action Under Rule 10b–5(b) Section 10(b) of the Securities Exchange Act of 1934 Circuit Split Securities and Exchange Commission (SEC) Rule 10b–5(b) makes it unlawful to omit material facts in connection with buying or selling securities when that omission renders “statements… [read post]
10 May 2024, 9:31 pm
Securities and Exchange Commission, 585 U.S. __ (2018) holds that only officers of the United States can take actions that affect the life, liberty, and property of citizens. [read post]
10 May 2024, 6:45 am
Another group of states and other parties intervened in support of the waiver authority. [read post]
9 May 2024, 10:35 pm
Securities Exchange Commission received when they tried to regulate cryptocurrencies after years of letting the industry grow unchecked. [read post]
9 May 2024, 2:00 pm
Then they realized it was a scam that might play out by there being an exchange of bank info or something to that effect. [read post]
8 May 2024, 7:20 pm
The Securities and Exchange Commission (SEC) charged Woods and his firm, Livingston Group Asset Management Company, for securities fraud in August 2021, uncovering a $110 million Ponzi scheme. [read post]
6 May 2024, 8:39 am
Until 2016, different jurisdictions in the United States had different rules regarding art confiscated due to Nazi persecution. [read post]
4 May 2024, 8:31 pm
FOJ also reports Insight also cooperated with the United States’ investigation. [read post]
3 May 2024, 9:05 pm
Securities and Exchange Commission and the Consumer Financial Protection Bureau only have jurisdiction over TPLF under limited circumstances, such as when TPLF lenders register securities on national exchanges. [read post]
2 May 2024, 2:14 pm
When Murray refused and reported the leaders, his supervisor recommended he either be transferred to a role that didn’t have Securities and Exchange Commission certification responsibilities or discharged from UBS entirely. [read post]
2 May 2024, 8:08 am
United States, Khadr asks the justices to grant review and reverse the D.C. [read post]
2 May 2024, 6:05 am
Serbia is a fully recognized State with representation in all leading intergovernmental bodies, from the United Nations to the Organization for Security and Cooperation in Europe to INTERPOL. [read post]
1 May 2024, 10:16 pm
LPL Financial LLC (CRD#: 6413/SEC#: 801-10970,8-17668) the largest independent broker-dealers in the United States, is headquartered in Fort Mill, SC. [read post]
1 May 2024, 9:05 pm
In the meantime, we must hope for the European Securities and Markets Authority (ESMA) to give further guidance. [read post]
30 Apr 2024, 6:08 am
Once the Federal Elections Commission sent him a letter, Pecker recalled telling Cohen that he was “very worried. [read post]
29 Apr 2024, 9:05 pm
The former head of the Securities Commission (CVM) referred to testimony that asserted JBS had bribed 1,829 politicians. [read post]
24 Apr 2024, 10:42 am
Earlier this year, the United States Securities and Exchange Commission (“SEC”) adopted new regulations to enhance disclosures and provide additional investor protections in initial public offerings (“IPO”) by Special Purpose Acquisition Companies (“SPAC”) and in subsequent business combination transactions between SPACs and target companies (“de-SPAC transactions”). [read post]
