Search for: "In Re Securities and Exchange Commission"
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9 Aug 2022, 5:19 am
In its announcement, PredictIt said the “security of trader funds” is not affected by the action. [read post]
5 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, July 30, 2022 Tags: Broker-dealers, Financial regulation, Financial technology, FINRA, High-frequency trading, SEC, Securities regulation What Do Elevated Shareholder Expectations Mean for Large Company Boards and Compensation Programs? [read post]
5 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, July 30, 2022 Tags: Broker-dealers, Financial regulation, Financial technology, FINRA, High-frequency trading, SEC, Securities regulation What Do Elevated Shareholder Expectations Mean for Large Company Boards and Compensation Programs? [read post]
2 Aug 2022, 9:01 pm
Securities & Exchange Commission, 933 F.3d 1248, 1259-60 (10th Cir. 2019) (discussing the impact of Lorenzo). [10] See SEC v. [read post]
2 Aug 2022, 9:09 am
Securities and Exchange Commission Gurbir S. [read post]
31 Jul 2022, 9:01 pm
Securities and Exchange Commission. [read post]
30 Jul 2022, 6:30 am
Securities and Exchange Commission. [read post]
30 Jul 2022, 6:30 am
Securities and Exchange Commission. [read post]
29 Jul 2022, 12:15 pm
The Securities and Exchange Commission today re-proposed rule amendments that would narrow the exemption from Section 15(b)(8) of the Securities Exchange Act, which requires any broker or dealer registered with the Commission to become a member of a…Read the Full Press ReleaseHave a securities law question? [read post]
28 Jul 2022, 9:08 pm
Last week, the SEC posted this order instituting proceedings on a proposed NYSE rule change to modify pricing limitations for securities listed on the Exchange via a primary direct listing. [read post]
26 Jul 2022, 3:34 am
For their part, a number of centralized U.S. cryptoasset exchanges have explicitly noted that they only list assets that they determine not to be securities. [read post]
26 Jul 2022, 3:00 am
Here’s more detail: The Securities and Exchange Commission today filed insider trading charges against nine individuals in connection with three separate alleged schemes that together yielded more than $6.8 million in ill-gotten gains. [read post]
25 Jul 2022, 9:01 pm
Securities and Exchange Commission (“SEC” or the “Commission”). [read post]
22 Jul 2022, 8:55 am
Crypto Regulation Weekly: Congress Could Challenge Control SEC Seeks With Ripple SuitPYMNTS – July 20, 2022 All in all, this wasn’t a very good week for Securities and Exchange Commission Chairman Gary Gensler’s fight to win regulatory control over cryptocurrencies. [read post]
22 Jul 2022, 3:39 am
(The original offering price for Preferred stock was $1,000, per share, according to the PPM,) Parking REIT Exec Reportedly Charged with Fraud According to the Securities and Exchange Commission on July 30 2021, the regulator charged an executive of the Parking REIT, and his wholly owned investment advisory firm, Vestin Mortgage LLC with fraud. [read post]
8 Jul 2022, 4:00 am
Aside from Youngkin each are facing re-election fights this year. [read post]
8 Jul 2022, 1:00 am
Securities and Exchange Commission stated that SSNs, bank account information, usernames, and passwords may have been exfiltrated during the ransomware attack. [read post]
7 Jul 2022, 3:33 pm
Securities and Exchange Commission (SEC) outlining her allegations. [read post]
6 Jul 2022, 11:13 am
When it comes to claims against broker-dealers, Silver Law works with clients to submit complaints with the Financial Industry Regulatory Authority (FINRA), a government-authorized not-for-profit organization that oversees U.S. broker-dealers, and the Securities and Exchange Commission. [read post]
29 Jun 2022, 2:22 pm
In any event, the joining of the US delegation to the OEIGWG has (re-)fuelled long smouldering discussions about the prospects of success of the OEIGWG endeavour and the need to explore alternative avenues, such as opting for the treaty design of a framework agreement. [read post]
