Search for: "United States Securities and Exchange Commission"
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23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 9:05 pm
In a forthcoming article in the William & Mary Business Law Review, Jerry Markham, a professor at Florida International University College of Law, argued that the Securities and Exchange Commission (SEC) may have exceeded its authority by bringing enforcement actions against celebrities who received undisclosed payments for endorsing cryptocurrency companies. [read post]
23 Feb 2023, 8:35 am
In its recent SEC filing, Wells Fargo stated that The Securities and Exchange Commission and Commodity Futures Trading Commission “have undertaken investigations regarding [Wells Fargo’s] compliance with records retention requirements relating to business communications sent over unapproved electronic messaging channels,” In the last several months, the SEC and CFTC fined 11 Wall Street banks and brokerages more than $1.8… [read post]
23 Feb 2023, 8:35 am
In its recent SEC filing, Wells Fargo stated that The Securities and Exchange Commission and Commodity Futures Trading Commission “have undertaken investigations regarding [Wells Fargo’s] compliance with records retention requirements relating to business communications sent over unapproved electronic messaging channels,” In the last several months, the SEC and CFTC fined 11 Wall Street banks and brokerages more… [read post]
22 Feb 2023, 1:07 pm
As a point of context, it’s worth noting that many states already require disclosure or much more draconian regulation of litigation funders backing state court cases—for instance, some states require funds and funders to register, and some even require funding agreements to be disclosed with the state. [read post]
22 Feb 2023, 5:16 am
Judicial Elections and Independent State Courts Nearly 90 percent of state court judges face some sort of election. [read post]
21 Feb 2023, 3:08 am
Key Takeaways Member of the Verkhovna Rada of Ukraine’s Committee on National Security, Defense, and Intelligence Fedir Venislavskyi stated that Russian forces have already deployed all their combat-ready units to the frontlines in Luhansk and Donetsk oblasts as well as parts of Zaporizhia Oblast. [read post]
20 Feb 2023, 9:05 pm
Stevens, SEC Litigation Release No. 12813 (1991). 8 See Securities Exchange Act Release No. 43154 (2000) (adopting Release). 9 See, e.g., United States v. [read post]
17 Feb 2023, 12:34 pm
The case was stayed while the United States Supreme Court decided Fed. [read post]
17 Feb 2023, 5:16 am
” The 9/11 Commission found that overclassification is a threat to national security because it inhibits information sharing within the federal government and between the federal government and state and local agencies. [read post]
17 Feb 2023, 5:06 am
(NASD) was founded in 1939 and was registered with the SEC (United States Securities Exchange Commission) in response to the 1939 Maloney Act amendments to the Securities Exchange Act of 1934, which allowed it to supervise the conduct of its members subject to the oversight of the SEC. [read post]
17 Feb 2023, 3:00 am
The Trump Organization secured an agreement with a Saudi real estate company that plans to build a Trump hotel as part of a $4 billion golf resort in Oman. [read post]
16 Feb 2023, 9:05 pm
” Disclosure controls Rule 13a-15(a) of the Securities Exchange Act of 1934, or the Exchange Act, requires public companies to maintain disclosure controls and procedures designed to ensure that information required to be disclosed in their SEC filings is recorded, processed, summarized and reported within specified time periods. [read post]
16 Feb 2023, 9:05 pm
Securities and Exchange Commission (SEC) proposed changes to its implementation of the Privacy Act. [read post]
16 Feb 2023, 6:02 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to the representation of investors in FINRA arbitration claims against brokerage firms throughout the United States. [read post]
