Search for: "SECURITIES AND EXCHANGE COMMISSION"
Results 501 - 520
of 26,484
Sort by Relevance
|
Sort by Date
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]
12 Mar 2024, 8:58 am
Article 11 EMIR on risk mitigation measures has also been amended to ensure that NFCs that become subject for the first time to the obligation to exchange collateral for non-cleared over-the-counter (OTC) derivative contracts can benefit from an implementation period of four months to negotiate and test the arrangements to exchange collateral. 6. [read post]
12 Mar 2024, 8:04 am
The US Department of Justice is planning to launch its own whistleblower program using the same model as the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). [read post]
12 Mar 2024, 8:02 am
Reddit plans to list 22 million shares at a price between $31 and $34, according to the latest version of the IPO prospectus it filed Monday with the Securities and Exchange Commission. [read post]
12 Mar 2024, 3:36 am
[4] See id. at 15 (“[T]he Commission’s disclosure requirements . . . are designed for traditional corporate entities that typically issue and register equity and debt securities. [read post]
12 Mar 2024, 2:48 am
It was alleged that he had requested and accepted a bribe of €303,360, disguised as commission, from the pharmaceutical company, in exchange for which he, using his social status, contacts or other possible or supposed influence, had convinced several people in charge of the response to the pandemic to purchase tests from the company. [read post]
