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26 Oct 2023, 12:50 pm
Look for firms that are members of relevant regulatory bodies, such as the Securities and Exchange Commission (SEC), or the Financial Industry Regulatory Authority (FINRA). [read post]
25 Oct 2023, 9:05 pm
We argue that the proposed rules, if adopted, will have important practical implications for companies, banks, law firms, and other participants in the securities industry. [read post]
25 Oct 2023, 9:01 pm
On December 5, the Supreme Court will hear arguments in an important tax case, Moore v. [read post]
25 Oct 2023, 9:09 am
Both parties must exchange information about finances, asset values, debts, and other important aspects of the case. [read post]
25 Oct 2023, 3:56 am
Iran and its allies have increased efforts to send weapons into the West Bank, raising fears of a second front in the Israel-Hamas war. [read post]
24 Oct 2023, 9:01 pm
From Congress to law enforcement to the courts, these levels are at, or below, historic lows.[2] Studies also show that only a small percentage of Americans have any significant level of confidence in banks, technology companies, or big business.[3] Regardless of whether you are a regulator, financial professional, or an attorney who counsels large entities, you should all be concerned. [read post]
24 Oct 2023, 2:17 am
Information exchange between the competent authority and the European Central Bank (ECB) and, as applicable, other central banks. [read post]
24 Oct 2023, 2:02 am
Addressing vulnerabilities in non-bank financial intermediation. [read post]
22 Oct 2023, 9:05 pm
ENDNOTES [1] Will Canny, Bank of America Customers’ Crypto Activity Slowed as Market Slid, Coindesk (May 11, 2023, 1:03 PM), https://www.coindesk.com/markets/2022/07/01/bank-of-america-customers-crypto-activity-slowed-as-market-slid/ [2] Legislative Highlights, 41 Am. [read post]
22 Oct 2023, 9:01 pm
’”[20] The court found that Morgan Stanley failed to meet its disclosure obligations under Item 303 and that the bank’s omissions were material, but the court ultimately did not find Morgan Stanley liable under Section 10(b) because the plaintiffs had failed to establish a strong inference of scienter.[21] In 2017, the Supreme Court had the opportunity to address this circuit split in Leidos, Inc. v. [read post]
20 Oct 2023, 2:40 pm
In a September 11, 2023 press release, the Securities and Exchange Commission (“SEC”) announced that it charged nine registered investment advisers for showing hypothetical performance results on their websites without adopting the necessary policies and procedures required under the SEC’s new marketing rules and regulations (the “New Marketing Rules”). [read post]
20 Oct 2023, 4:17 am
Ukrainian troops have crossed onto the Russian-occupied eastern bank of the Dnipro River, the Ukrainian military appeared to confirm. [read post]
19 Oct 2023, 9:05 pm
The Securities and Exchange Commission (SEC) adopted new rules to provide greater transparency around short selling, an activity where investors bet that a stock’s price will fall. [read post]
19 Oct 2023, 9:05 pm
Third, cloud giants (Amazon, Microsoft, and Google) have been particularly eager to enter partnerships with banks and trading exchanges. [read post]
19 Oct 2023, 9:17 am
First National Bank v. [read post]
19 Oct 2023, 6:07 am
“Digital financial asset” does not include any of the following: A transaction in which a merchant grants, as part of an affinity or rewards program, value that cannot be taken from or exchanged with the merchant for legal tender, bank or credit union credit, or a digital financial asset; a digital representation of value issued by or on behalf of a publisher and used solely within an online game, game platform or family of games sold by the same publisher or… [read post]
18 Oct 2023, 9:01 pm
Securities and Exchange Commission (SEC) announced a US$19 million settlement with the investment adviser DWS Investment Management Americas Inc. [read post]
18 Oct 2023, 12:03 pm
In exchange, Liu allegedly accepted large quantities of money and gifts. [read post]
18 Oct 2023, 7:43 am
More recently, the FBI and the Securities and Exchange Commission have cautioned investors regarding this issue. [read post]
18 Oct 2023, 3:58 am
The stock exchange expected the company would have issues, but nothing like this. [read post]
