Search for: "In Re Securities and Exchange Commission"
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29 Jun 2022, 9:07 am
In the Matter of Nikola Corp: In Nikola, the Securities and Exchange Commission (SEC) alleged that Nikola, an electric trucking company, had falsified reports that it had successfully achieved technological milestones to increase share prices in its SPAC. [read post]
29 Jun 2022, 7:17 am
That has led the Securities and Exchange Commission (SEC) to propose new rules relating to SPACs. [read post]
29 Jun 2022, 6:51 am
Leaders of the Securities and Exchange Commission (SEC) recently released its 2022 priorities for its Department of Examinations (EXAMS)—the office charged with monitoring risks and protecting investors. [read post]
28 Jun 2022, 5:26 am
Securities and Exchange Commission (SEC) to investigate GWG Holdings and the broker-dealers selling its L Bonds to retail customers. [read post]
27 Jun 2022, 9:30 am
Additionally, the SEC says the language used in the agreements violated Section 21F and Rule 21F-17(a) of the Securities Exchange Act that “encourage[s] individuals to report to the commission. [read post]
24 Jun 2022, 4:55 pm
Although the War Claims Act (like the Securities Exchange Act of 1934) did not explicitly grant tenure protection, the Court nonetheless concluded that the Commission’s nature as an “adjudicatory body… precludes such a claim [that the commissioners were removable at the President’s pleasure]. [read post]
20 Jun 2022, 2:22 pm
You can’t claim credits for taxes paid for foreign real estate tax, value-added tax (VAT), sales tax, social security, or property tax. [read post]
17 Jun 2022, 7:23 am
According to a press release on June 16, 2022, the Securities and Exchange Commission charged registered broker-dealer Western International Securities, Inc. and five of its brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings, an unrated, high-risk debt security to retirees and other… [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
16 Jun 2022, 2:07 pm
The Securities and Exchange Commission (SEC) has selected FINRA as the regulating entity to license and regulate broker-dealers. [read post]
16 Jun 2022, 12:22 pm
In a panel aptly entitled, “Wall Street Suits Meet Hoodies,” Ryan VanGrack, a former advisor at the Securities and Exchange Commission (SEC), opened with a comment about how he felt uncomfortably informal in his crisp button-down shirt, slacks, and pristine gray sneakers. [read post]
10 Jun 2022, 7:22 am
“It’s a simple customer experience, you tap your card on the phone and you’re set. [read post]
9 Jun 2022, 9:30 pm
Securities and Exchange Commission (SEC), Gary Gensler, gave a speech previewing forthcoming updates to SEC market rules governing the purchase and sale of stocks. [read post]
8 Jun 2022, 9:01 pm
Wholesalers may be saving more than they’re passing along to investors in terms of price improvement.[14] Further, as I previously discussed, the current NBBO has gaps and may not represent a level playing field. [read post]
7 Jun 2022, 10:32 am
The Indiana Election Commission denied the petition orally about a week later and the challenger did not appeal. [read post]
7 Jun 2022, 7:31 am
Un tribunal américain a déjà reconnu que la Securities and Exchange Commission des États-Unis (SEC) possédait une vaste compétence en émettant une injonction pour interrompre la livraison de cryptomonnaies à des investisseurs étrangers. [read post]
7 Jun 2022, 3:29 am
May 12, 2022 – Secondary Sales Price $5.00 per share According to Central Trade and Transfer, a secondary market for non-traded REITs, shares of Mobile Infrastructure Corp. are currently listed to sell for just $5.00 per share, indicating big losses for investors.Parking REIT Exec Charged with Fraud As we previously reported, the Securities and Exchange Commission on July 30, charged an executive of the Parking REIT, and his wholly owned… [read post]
5 Jun 2022, 4:26 pm
DLA Piper has provided a summary of the 5 things you need to know about the EU Commission’s draft Regulation on the European Health Data Space. [read post]
3 Jun 2022, 6:31 am
Securities and Exchange Commission, on Friday, May 27, 2022 Tags: Asset management, ESG, Institutional Investors, SEC, SEC rulemaking, Securities regulation, Transparency Repricing Underwater Options Posted by Colin J. [read post]
3 Jun 2022, 6:31 am
Securities and Exchange Commission, on Friday, May 27, 2022 Tags: Asset management, ESG, Institutional Investors, SEC, SEC rulemaking, Securities regulation, Transparency Repricing Underwater Options Posted by Colin J. [read post]
