Search for: "Securities and Exchange Commission"
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18 Mar 2024, 5:06 am
The Securities and Exchange Commission today announced 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, 3:54 am
To increase the attractiveness of capital market funding for companies, Member States and the Commission are encouraged to assess how they could create better integrated market infrastructure in the EU and how they could further converge and harmonise listing requirements across EU exchanges. [read post]
18 Mar 2024, 3:00 am
The annual Securities and Exchange Commission request for funding from Congress is not generally very interesting. [read post]
17 Mar 2024, 9:05 pm
Securities and Exchange Commission violates the constitutional separation of powers and the right to a jury trial. [read post]
17 Mar 2024, 7:14 pm
FINRA and the Securities and Exchange Commission may impose regulatory actions against a broker-dealer such as censures, fines, suspensions and restitution, among others. [read post]
17 Mar 2024, 5:42 pm
To fulfill this requirement, the Security Rule requires covered entities and business associates to conduct documented risk assessments impacting their EPHI and to update these risk assessments in response to internal or external events impacting the adequacy of their risk assessments or security safeguards. [read post]
16 Mar 2024, 6:30 am
Securities and Exchange Commission (SEC) published its much anticipated rules to regulate initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and subsequent business combination transactions between SPACs and target companies (de-SPAC transactions). [read post]
16 Mar 2024, 6:30 am
Securities and Exchange Commission (SEC) published its much anticipated rules to regulate initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and subsequent business combination transactions between SPACs and target companies (de-SPAC transactions). [read post]
15 Mar 2024, 5:35 am
The Securities and Exchange Commission today charged 17 individuals for their roles in a $300 million Ponzi scheme that involved Houston, Texas-based CryptoFX LLC and targeted more than 40,000 predominantly Latino investors in the U.S. and two other…Read the Full Press Release Have a securities law question? [read post]
15 Mar 2024, 4:00 am
California – Recall Campaign Against Alameda County DA Pamela Price Paid Thousands to Security Firm Tied to Its Own Leader, Records Show San Jose Mercury News – Jakob Rodgers (Bay Area News Group) | Published: 3/7/2024 The campaign to recall Alameda County District Attorney Pamela Price paid thousands of dollars to a security company created by one of the group’s key leaders, even though it lacks proper state licenses to operate as a… [read post]
14 Mar 2024, 1:15 pm
The Securities and Exchange Commission today charged 17 individuals for their roles in a $300 million Ponzi scheme that involved Houston, Texas-based CryptoFX LLC and targeted more than 40,000 predominantly Latino investors in the U.S. and two other…Read the Full Press Release Have a securities law question? [read post]
14 Mar 2024, 9:08 am
Securities and Exchange Commission (“SEC”) adopted its own final climate disclosure rule on March 6. [read post]
13 Mar 2024, 9:05 pm
Furthermore, Congress has yet to decide if either the Securities Exchange Commission or the Commodity Futures Trading Commission has jurisdiction over legal issues related to crypto. [read post]
13 Mar 2024, 1:18 pm
The Securities and Exchange Commission announced insider trading charges against Roy Cook, a former board member of Tallgrass Energy LP, and four of his friends for trading on material nonpublic information in advance of a public announcement that Blackstone Infrastructure Partners had offered to acquire Tallgrass and take it private. [read post]
12 Mar 2024, 9:05 pm
Business groups have used the doctrine to challenge the Consumer Financial Protection Bureau’s (CFPB) fair lending lending policies and the private fund industry has challenged a Securities and Exchange Commission (SEC) rule that applies to such funds. [read post]
12 Mar 2024, 1:44 pm
Security Tokens may be acquired in platforms that are registered with the Securities and Exchange Commission (SEC) as Alternative Trading Systems (ATS), such as tZero and OpenFinance, broker-dealers and crowdfunding platforms such as Kickstarter and StartEngine. [read post]
12 Mar 2024, 1:19 pm
In February 2024, the Commodity Futures Trading Commission (CFTC) and the US Securities and Exchange Commission (SEC) announced new disclosure requirements for Form PF. [read post]
12 Mar 2024, 12:27 pm
This article delves into the cases of Loper Bright and Jarkesy and illustrates how challenges to the current power exercised by administrative agencies may impact the regulatory landscape for public companies, the Securities and Exchange Commission (“SEC”), and market integrity. [read post]
12 Mar 2024, 12:25 pm
Here is the abstract: The United States Supreme Court has taken varied approaches in cases arising under the federal securities laws, in some periods interpreting those laws broadly to expand the powers of the Securities and Exchange Commission and investors to obtain remedies against alleged violators while, in other periods, either interpreting those laws restrictively to limit the availability of relief or adopting a more even-handed approach. [read post]
12 Mar 2024, 9:00 am
The Securities and Exchange Commission today announced insider trading charges against Roy Cook, a former board member of Tallgrass Energy LP, and four of his friends for trading on material nonpublic information in advance of a public announcement that…Read the Full Press Release Have a securities law question? [read post]
