Search for: "Securities and Exchange Commission"
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20 Mar 2024, 3:00 pm
As part of the Wells Report in 1972, the Securities and Exchange Commission adopted its no-admit/no-deny policy. [read post]
20 Mar 2024, 12:20 pm
“Registration” is the licensing system for the securities industry; under the federal laws and rules that the SEC administers, it is unlawful to engage in certain lines of securities business without registering. [read post]
20 Mar 2024, 10:29 am
The Law Society of BC doesn’t think the proposed plan does enough to keep the regulator independent from government. 🤖 The US Securities and Exchange Commission fined two investment firms that were a bit too eager to ride the AI wave. [read post]
20 Mar 2024, 3:30 am
So, while the Commission still dangles the prospect of a “substituted compliance” approach in some far away future, in the meantime, foreign private issuers are expected to be subject to the same one-size-fits-all approach when it comes to reporting climate-related information for purposes of the U.S. federal securities laws. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 12:49 pm
The Securities and Exchange Commission announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injunction to settle charges that it engaged in the unregistered offer and sale of securities through a crypto asset lending program known as the Gemini Earn program. [read post]
19 Mar 2024, 10:06 am
The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association (NASAA), the Georgia Secretary of State, the University of North Georgia, and Dalton State College to host joint public…Read the Full Press Release Have a securities law question? [read post]
19 Mar 2024, 6:00 am
The Securities and Exchange Commission today announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injunction to settle charges that it engaged in the unregistered…Read the Full Press Release Have a securities law question? [read post]
19 Mar 2024, 4:38 am
Chair Gensler probably knew that the Securities and Exchange Commission was actively working on two enforcement cases that got announced this week. [read post]
18 Mar 2024, 2:05 pm
Securities and Exchange Commission (SEC) charged 17 individuals with orchestrating a $300 million Ponzi scheme involving CryptoFX LLC. [read post]
18 Mar 2024, 9:02 am
This bill is the product of the Legislative Water Development Commission examining and retooling the 2023 Legislative Session’s failed HB 272 (Water Efficient Landscaping Amendments), as it was not examined by the Commission prior to the 2023 Legislative Session. [read post]
18 Mar 2024, 7:36 am
The Securities and Exchange Commission settled charges against two investment advisers, Delphia (USA) Inc. and Global Predictions Inc., for making false and misleading statements about their purported use of artificial intelligence (AI). [read post]
18 Mar 2024, 6:32 am
Securities and Exchange Commission (“SEC”) and industry service providers have made significant changes and improvements in processing and reporting proxy votes. [read post]
18 Mar 2024, 6:32 am
Securities and Exchange Commission (“SEC”) and industry service providers have made significant changes and improvements in processing and reporting proxy votes. [read post]
18 Mar 2024, 6:00 am
The Security Rule builds upon the mini-security provisions in the Privacy Rule and sets forth detailed requirements for the protection of electronic PHI. [read post]
