Search for: "United States Securities and Exchange Commission"
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14 Apr 2023, 11:59 am
He also represents several persons living outside the United States who have filed claims for sanctions violations or for securities violations before The Securities & Exchange Commission (SEC). [read post]
14 Apr 2023, 2:51 am
RELATIONS Mexico and the United States yesterday agreed to ramp up the fight against fentanyl trafficking, as well as Mexico’s Sinaloa and CJNG drug cartels. [read post]
11 Apr 2023, 4:00 am
The Securities and Exchange Commission (SEC) may also press criminal charges against the individual. [read post]
5 Apr 2023, 7:14 pm
Mutual Fund Overcharges The Securities and Exchange Commission settled charges with Berthel Fisher & Company over claims it failed to disclose conflicts concerning recommendations of certain mutual fund share classes that included 12b-1 fees. [read post]
5 Apr 2023, 5:24 pm
The judge wrote, in part:Although, as [the IRS] argues, the chances of a successful lawsuit against Conway Twitty by any of the investors or the Securities and Exchange Commission was remote we agree with [Twitty] that the possibility of extensive adverse publicity concerning [his] involvement with the defunct corporation and the consequent loss of the investors' funds was very real. [read post]
4 Apr 2023, 4:49 pm
” Pecker and AMI’s editor-in-chief notified Cohen, who d secured Danils’s silence in exchange for $130,000 for the rights to her account. [read post]
1 Apr 2023, 3:00 am
Additionally, other government bodies such as the Securities and Exchange Commission (SEC), the Federal Bureau of Investigation (FBI), and the Internal Revenue Service (IRS) may also be involved in investigating and prosecuting fraud related to the CARES Act. [read post]
31 Mar 2023, 1:43 pm
In Securities and Exchange Commission v. [read post]
31 Mar 2023, 10:32 am
However, it also produces various reports relating to foreign investment in the United States. [read post]
31 Mar 2023, 7:01 am
The post Securities and Exchange Commission files insider trading charges against former stock broker from New Jersey and trader for Canadian asset management firm appeared first on Jeff Newman Law. [read post]
31 Mar 2023, 5:16 am
Even a major cyber power like the United States is working to improve information sharing and operational collaboration with partners in state and local governments, other countries, and the private sector. [read post]
30 Mar 2023, 8:48 am
FINRA (Financial Industry Regulatory Authority) and the SEC (Securities and Exchange Commission) are regulatory bodies that oversee the securities industry in the United States. [read post]
30 Mar 2023, 6:52 am
Securities and Exchange Commission (SEC) in 2019. [read post]
29 Mar 2023, 1:00 pm
“I hope it is implemented properly, because although the Dodd-Frank Act permits anonymous and confidential whistleblowing to the Security and Exchange Commission (SEC) and to the Commodity Futures Trading Commission (CFTC), up until the AML law, the Justice Department was not required to accept confidential and anonymous whistleblowing information in any of the reward laws, including false claims that they administer. [read post]
28 Mar 2023, 1:27 pm
Besides the internal market, the European Union must be prepared to take decisions on data sharing and trust with its global partners, especially the United States, to ensure interoperability of worldwide services while addressing European concerns about privacy and security. [read post]
27 Mar 2023, 8:09 pm
July 2017 – The State of Pennsylvania sanctioned Newbridge Securities after allegations that it failed to reasonably supervise a registered representative in connection with the sales of structured products in the state. [read post]
How Has Blockchain Technology Fared in China? –from a case study of LRB to the most recent NFT cases
27 Mar 2023, 9:50 am
Another difference between R-Space and marketspaces in the United States is that trading between consumers is prohibited. [read post]
27 Mar 2023, 9:06 am
The rule went into effect in 2016 after receiving approval from the Securities and Exchange Commission (SEC). [read post]
26 Mar 2023, 9:01 pm
On March 9, 2023, the Securities and Exchange Commission (the “SEC”) Enforcement Division’s Crypto Assets and Cyber Unit announced a settlement with Blackbaud, Inc. involving allegations of inadequate disclosure controls and procedures and material misstatements and omissions concerning a 2020 cybersecurity incident. [read post]
23 Mar 2023, 7:19 am
After spending seven years as a proposal in limbo, the Securities and Exchange Commission ("SEC") adopted a "Pay Versus Performance" rule in August of 2022, finally meeting the statutory mandate set forth in the Dodd-Frank Act. [read post]
