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13 May 2024, 8:51 am
” The SEC’s complaint, filed in U.S. [read post]
13 May 2024, 8:50 am
” The SEC’s complaint, filed in U.S. [read post]
13 May 2024, 8:45 am
” The SEC’s complaint, filed in U.S. [read post]
13 May 2024, 8:41 am
” The SEC’s complaint, filed in U.S. [read post]
13 May 2024, 8:05 am
Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed a new rule that would require SEC-registered investment advisers (RIAs) and exempt reporting advisers (…Read the Full Press Release Have a securities law question? [read post]
13 May 2024, 6:07 am
SEC, 568 U.S. 442 (2013) (holding that the discovery rule does not apply to the statute of limitations for civil penalty actions brought by the Securities and Exchange Commission under the Investment Advisers Act of 1940); Rotkiske v. [read post]
13 May 2024, 3:30 am
If you have a contemplated capital markets transaction over the course of the next few weeks, it will be important to adjust the timeline for when you will conduct diligence calls, obtain signed documents and make filings with the SEC. [read post]
13 May 2024, 3:25 am
The National Credit Union Administration is expected to take action on the proposed rules in the near future, and the SEC has included a rulemaking to implement Section 956 on its rulemaking agenda. [read post]
13 May 2024, 3:20 am
The SEC’s notable absence from the joint agency action on Section 956 of Dodd-Frank Act inevitably makes one wonder, where are we on SEC rulemaking? [read post]
12 May 2024, 9:05 pm
I examine various ways of measuring these results and demonstrate that the announcement leads to an abnormally high number of downloads of the firm’s SEC filings, a greater number of public M&A offers, bids from outside the announcing firm’s industry, and higher deal value. [read post]
12 May 2024, 3:15 pm
Specialist, Dep’t of the Interior/Sec’y, GG 11-12, Washington, D.C., closes 5/17/24.Ass’t Gen. [read post]
12 May 2024, 6:30 am
Securities and Exchange Commission (“SEC”) has been increasingly aggressive in bringing charges for violations of federal securities laws resulting, at least in part, from the risks associated with remote work environments. [read post]
12 May 2024, 6:30 am
Securities and Exchange Commission (“SEC”) has been increasingly aggressive in bringing charges for violations of federal securities laws resulting, at least in part, from the risks associated with remote work environments. [read post]
11 May 2024, 12:58 pm
Code Sec. 12599.9(a)(1) Excluded from the definition of a CFP are: (A) a charitable organization’s own platform that solicits donations only for itself; (B) a vendor that solely provides technical or supportive services to a CFP so that the CFP can function and operate (including vendors used for hosting or domain services, security certificates, internet access, internet application development, or digital payment processing unless that vendor also performs, permits, or… [read post]
11 May 2024, 6:30 am
To that end, we provide a non-exhaustive list of hot topics to consider below, including with context from SEC examinations and SEC enforcement settlements. [read post]
11 May 2024, 6:30 am
To that end, we provide a non-exhaustive list of hot topics to consider below, including with context from SEC examinations and SEC enforcement settlements. [read post]
10 May 2024, 1:06 pm
Securities and Exchange Commission (SEC) under the highly successful Dodd-Frank Act,” Kohn writes. [read post]
10 May 2024, 11:10 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
10 May 2024, 7:26 am
By Suzanne CosgroveWhile small and early-stage businesses often begin as start-ups funded with the help of friends and family, achieving “real success” often outstrips those friends’ and families’ available capital, said SEC Chairman Gary Gensler. [read post]
10 May 2024, 6:45 am
This is the second installment of a four-part series dealing with climate change in Colorado. [read post]
