Search for: "In Re Securities and Exchange Commission"
Results 421 - 440
of 2,830
Sort by Relevance
|
Sort by Date
3 Oct 2022, 5:56 am
Unspoken in this exchange is the failure of the proposed war crimes legislation to include command or superior responsibility liability. [read post]
30 Sep 2022, 2:26 pm
As commissions on traditional stocks and bonds have decreased in recent years, these complex products also come with complex fees and commissions which can go to the brokerage firm’s bottom line. [read post]
30 Sep 2022, 7:37 am
Securities and Exchange Commission regulators about security vulnerabilities on its platform. [read post]
30 Sep 2022, 4:00 am
National/Federal Brooklyn’s Library Moves to Slip Books Through Red State Bans MSN – Madina Touré (Politico) | Published: 9/24/2022 The front line of America’s culture war now runs straight through the nation’s school libraries, with conservatives in dozens of states outlawing books and instruction and the left working to shield targeted authors. [read post]
29 Sep 2022, 8:00 am
Securities and Exchange Commission has recently ratcheted up enforcement of insider trading cases, announcing investigations against ten people in four different cases in July. [read post]
28 Sep 2022, 6:31 am
Key Takeaways SEC expected to release revised rules on clawback policies in October Comments focused on how to categorize restatements based on impact Clawback policies are already the market norm in most industries Health Care has one of the lowest adoption rates for clawback policies New rules may prompt companies to re-examine the scope of their policies The Securities and Exchange Commission is poised to revise its rules on so-called clawbacks: the process of… [read post]
27 Sep 2022, 6:30 am
The US Department of Justice (DOJ) and the US Securities and Exchange Commission (SEC) have issued a number of policy updates and public pronouncements over the last several months, emphasizing the importance of empowered and accountable corporate compliance programs. [read post]
Two Twenty-Somethings Running a Cryptocurrency Business They Invented: What Could Possibly Go Wrong.
26 Sep 2022, 8:43 am
Money “Invested” in Cryptocurrencies Ended Up With Company Co-Founders The Securities and Exchange Commission (SEC) states Dropil sold DROP tokens to investors. [read post]
22 Sep 2022, 3:25 am
A new Equal Employment Opportunity Commission (“EEOC”) lawsuit that refusing to hire an applicant for testing positive for legally prescribed medications could violate the Americans With Disabilities Act (“ADA”) under certain circumstances. [read post]
20 Sep 2022, 12:11 pm
Via Matt Levine, I learn of a SEC complaint against MorganStanley Smith Barney (MSSB): The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately 15 million customers. [read post]
17 Sep 2022, 9:25 am
Securities and Exchange Commission (SEC), Federal Trade Commission (FTC), and Department of Justice (DOJ) in July 2022,” according to prior WNN reporting. [read post]
11 Sep 2022, 9:01 pm
ENDNOTES [1] The Securities and Exchange Commission disclaims responsibility for any private publication or statement of any SEC employee or Commissioner. [read post]
9 Sep 2022, 7:39 am
In Australia, it is common knowledge that the financial services regulator, the Australian Securities and Investment Commission (ASIC), was “worse than useless. [read post]
9 Sep 2022, 4:00 am
Some of the seized documents detail top-secret U.S. operations so closely guarded that many senior national security officials are kept in the dark about them. [read post]
8 Sep 2022, 9:01 pm
The following year, they passed the Securities Exchange Act of 1934. [read post]
7 Sep 2022, 9:01 pm
HFCAA, among other things, also mandates that, after the PCAOB makes such a determination, the Commission require issuers who retain accounting firms in such jurisdiction to make specified disclosures in their annual reports and prohibit trading in those issuers’ securities if they are identified by the Commission as using such accounting firms for three consecutive years.[10] On December16, 2021, the PCAOB formally determined that, due to the positions taken by the… [read post]
5 Sep 2022, 9:05 pm
Res. [read post]
2 Sep 2022, 2:15 pm
Most are illiquid, and because they’re not traded on an exchange, you’ll have to hold them indefinitely. [read post]
2 Sep 2022, 8:25 am
When the Securities and Exchange Commission (SEC) warns investors of types of investment scams—such as boiler room and Ponzi schemes—the agency routinely mentions the high-pressure aggressive sales tactics scammers rely on to help defraud their customers. [read post]
2 Sep 2022, 7:59 am
As reported in the Wall Street Journal, employees of tech companies in Silicon Valley and elsewhere are increasingly coming forward to the Securities and Exchange Commission (SEC). [read post]
