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6 Apr 2022, 6:20 pm
Zack Barnes 1:55 Sure. [read post]
4 Apr 2022, 9:01 pm
As it relates to crypto lending platforms, we recently charged BlockFi with failing to register the offering of its retail crypto lending product, among other violations.[6] The settlement made clear that crypto markets must comply with time-tested securities laws, such as the Securities Act of 1933 and the Investment Company Act of 1940. [read post]
3 Apr 2022, 9:01 pm
The Securities and Exchange Commission’s recent guidance limiting exclusion of Rule 14a-8 proposals and proposed new rules on climate-related disclosures, and the new ISS and Glass Lewis proxy voting guidelines on climate, board and workforce diversity and “responsiveness” will continue to lend support to ESG-related shareholder proposals. [read post]
31 Mar 2022, 7:00 pm
Generally, lending to bona fide Dutch professional parties does not trigger a banking licence, unless the loan is to a consumer. [read post]
28 Mar 2022, 6:32 am
As we approach the two-year anniversary of the passage of the Coronavirus Aid, Relief, and Economic Security Act (“CARES Act”), the scope and costs of fraud in connection with its relief programs continues to mount. [read post]
11 Mar 2022, 1:05 pm
” She argued that applying the securities regulatory framework to crypto lending products might simply make them unavailable to US retail customers. [read post]
7 Mar 2022, 9:10 pm
In addition: Debt securities referencing foreign assets listed in a South African stock exchange will remain classified as foreign. [read post]
2 Mar 2022, 5:07 am
Has NFT seller or marketplace obtained legal opinion regarding whether the NFT constitutes a “security” that would require sale by a registered securities broker-dealer or other regulatory oversight? [read post]
1 Mar 2022, 3:15 am
Here’s more detail: Proposed Rule 10c-1 is designed to increase the transparency and efficiency of the securities lending market by requiring any person that loans a security on behalf of itself or another person to report the material terms of those securities lending transactions and related information regarding the securities the person has on loan and available to loan to a registered national securities association. [read post]
28 Feb 2022, 7:08 am
The rule was initially proposed on November 18, 2021, and its initial comment period ended January 7, 2022.The proposed rule would increase the transparency and efficiency of the securities lending market by requiring any person that loans a security on behalf of itself or another person to report the material terms of those securities lending transactions and related information to a registered national securities association. [read post]
28 Feb 2022, 3:42 am
No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend (BrokeAndBroker.com Blog)Wells Fargo Slammed With $1 Million Defamation/Fraud Award in FINRA ArbitrationIn the Matter of the Arbitration Between Aaron Olson, Claimant, v. [read post]
28 Feb 2022, 3:42 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/XXXX/securities-industry-commentator/Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6322/securities-industry-commentator/No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend… [read post]
23 Feb 2022, 8:59 am
The additional restrictions announced yesterday preclude U.S. financial institutions from participating, as of March 1, 2022, in the secondary market for ruble and non-ruble denominated bonds issued after March 1 by those Russian institutions. [read post]
17 Feb 2022, 6:20 am
Around all of this swirls the politics of personality and the reality that individuals must necessarily come and go because (1) individuals tend to age and eventually die; (2) individuals change, and sometimes not for the (institutional) better; and (3) institutions (especially Leninist vanguards) must expand and in the process necessarily change character and needs (and thus produce in Leninist theory an internal contradiction that reaches a critical point in every generation). [read post]
16 Feb 2022, 5:01 am
Instead, qubits can have a value of either 0 or 1, but the value isn’t determined until the end of quantum computation. [read post]
16 Feb 2022, 5:00 am
Going to college or buying a new house will be a problem because lending institutions frown on criminal behavior. [read post]
16 Feb 2022, 4:59 am
It stipulates that OCSSPs perform an act of communication to the public or an act of broadcasting, depending on the services; hence they require an authorisation from rightholders.Failure to secure an authorisation means that an OCSSP will be held liable for the unauthorised use of user-uploaded content, unless it (1) took “all possible actions” [as opposed to “best efforts” in the Copyright DSM Directive] to secure such an authorisation; (2) took… [read post]
15 Feb 2022, 11:02 am
Continue reading › The post Malecki Law Files Comment in Response to FINRA’s Proposed Modification to Rule 3240 Prohibiting Borrowing or Lending Arrangements Between Brokers and Their Customers appeared first on New York Securities Fraud Lawyers Blog. [read post]
9 Feb 2022, 10:36 am
Section 1 of Germany’s 2002 Code of Crimes Against International Law provides German courts with “pure” universal jurisdiction over the crimes listed in the code—even in the absence of a link between Germany and the crime. [read post]
8 Feb 2022, 4:39 am
The ESAs recommendations: Recommendation 1: Need to consider a holistic approach to the regulation/supervision of fragmented value chains. [read post]
