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15 Sep 2011, 8:44 am
Today, the Federal Securities Law Blog takes a look back at the last 30 days in the world of securities-related litigation in a regular feature which appears on approximately the 15th of each month. [read post]
8 Nov 2019, 3:00 am
The end result is a wave of companies with weak corporate governance. [read post]
11 May 2022, 9:01 pm
Make no mistake: If a swap is based upon a crypto asset that is a security, then that is a security-based swap. [read post]
12 Mar 2013, 7:15 pm
The Committee will review developments and issues concerning corporate governance at public companies and the SEC’s proposals that seek to modernize corporate governance practices. [read post]
1 Sep 2023, 6:07 am
Returns are linked to the performance of an index, such as the S&P 500, an underlying asset, or a group of assets. [read post]
21 Aug 2013, 7:43 am
These reforms include repealing their affordable housing goals that helped precipitate the crisis; shrinking their portfolios of mortgage-backed securities and other assets; and eliminating their government-granted competitive advantages over the private sector.Covered bond regime. [read post]
30 Jun 2020, 5:52 am
Advisor Robert Gianchiglia (Gianchiglia), currently employed by USA Financial Securities Corporation (USA Financial) has been subject to at least six customer complaints and two criminal complaints during the course of his career. [read post]
12 Feb 2014, 5:49 pm
The final version of the Framework also adds an orientation step in which, after setting the scope of the cybersecurity program, an organization “identifies related systems and assets, regulatory requirements, and overall risk approach” and “threats to, and vulnerabilities of, those systems and assets. [read post]
31 Jul 2020, 6:02 am
Securities and Exchange Commission, on Friday, July 24, 2020 Tags: Boards of Directors, Institutional Investors, Investment advisers, Proxy advisors, Proxy voting, SEC, Securities regulation, Shareholder voting Corporate Governance Update: Raising the Stakes for Board Diversity Posted by David A. [read post]
8 May 2024, 1:45 am
Statement of Specified Foreign Financial Assets (Form 8938): Required of those with over $200,000 in foreign assets on the last day of — or over $300,000 in foreign assets at any point during — the tax year. [read post]
21 Nov 2021, 10:47 am
In addition, there are securities laws concerns about whether a DAO is structured in a manner that doesn’t make it an unlawful offerer of unregistered securities. [read post]
13 Jun 2024, 1:29 pm
Every business is unique, requiring tailored succession planning structures. [read post]
31 Oct 2007, 1:19 am
The thirst for profits, secure assets,and maximized tax treatments obscure Congress's rationale for emphatically supporting structured settlements: adequate and effective compensation for tort victims". [read post]
6 Nov 2020, 7:39 am
The SEC should seek input from issuers, transfer agents, broker-dealers, clearing corporations, banks, investors, regulators, exchanges, underwriters, and industry experts at this dematerialization roundtable.Discussion. [read post]
7 May 2015, 8:57 am
Depreciation of Assets. [read post]
11 May 2016, 8:14 am
Depreciation of Assets. [read post]
5 Apr 2009, 1:26 pm
Following the signing of the Stimulus Act, the Treasury Department announced that the requirements would not apply to recipients of TARP funds through the Term Asset-Backed Securities Loan Facility (”TALF”), which is designed to increase lending to consumers and small businesses on more favorable terms by encouraging investment in highly-rated asset-backed securities. [read post]
11 Oct 2011, 2:07 pm
Shabudin were charged to commit securities fraud, securities fraud, falsifying corporate books and records, and lying to auditors. [read post]
6 Nov 2010, 8:47 pm
For example, if a REIT fails the asset tests by a de minimis amount and the REIT comes into compliance within six months after it identifies the failure, then the REIT is treated as satisfying the asset tests. [read post]
16 Feb 2010, 10:43 am
” Designed to entice corporate insiders and other individuals to come forward with needed information about securities violations, the SEC will consider entering into agreements with insiders. [read post]
