Search for: "Securities and Exchange Commission"
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4 Mar 2024, 7:36 am
The principles are: Safety, security and robustness. [read post]
4 Mar 2024, 5:56 am
The Marshall Islands National Nuclear Commission has a strategy for achieving nuclear justice, but it requires U.S. cooperation to be fully implemented. [read post]
4 Mar 2024, 2:30 am
He was required to certify in accordance with applicable Securities and Exchange Commission regulations that his reports to UBS customers about the firm’s securities business were independently produced and reflected his own views. [read post]
3 Mar 2024, 7:51 pm
Don’t treat this as optional: Recent attacks on the Securities and Exchange Commission’s official X account and thousands of accounts at 23andMe might have been blocked had those users enabled 2FA. [read post]
1 Mar 2024, 8:33 am
The Securities and Exchange Commission announced settling charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for trucking fleet company Ryder System Inc. [read post]
1 Mar 2024, 8:24 am
Securities and Exchange Commission (SEC) Office of the Whistleblower posted a Notice of Covered Action (NoCA) for a $100 million settlement with global software company SAP SE over charges of violations of the Foreign Corrupt Practices Act (FCPA). [read post]
1 Mar 2024, 7:06 am
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for…Read the Full Press Release Have a securities law question? [read post]
1 Mar 2024, 3:14 am
Securities and Exchange Commission’s Proposals to Improve Equity Market Structure (this includes “payment for order flow”) 2. [read post]
1 Mar 2024, 3:00 am
During a public hearing, those speaking against Simpson’s reform bill included Alabama Ethics Commission Executive Director Tom Albritton, and commission member and former state Supreme Court Justice Lyn Stuart. [read post]
1 Mar 2024, 3:00 am
” Last Friday, the Illinois Courts Commission issued an order removing Judge Robert K. [read post]
29 Feb 2024, 9:01 pm
Securities and Exchange Commission (SEC) proposed ambitious rules relating to artificial intelligence (AI) that have drawn significant commentary and criticism. [read post]
29 Feb 2024, 1:25 pm
The Securities and Exchange Commission today charged Lordstown Motors Corp. with misleading investors about the sales prospects of Lordstown’s flagship electric pickup truck, the Endurance. [read post]
29 Feb 2024, 7:45 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on March 7 at 10 a.m. [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 10:00 pm
On February 8, the US Securities and Exchange Commission (SEC) and the US Commodity Futures Trading Commission (CFTC and, together with the SEC, the Commissions) voted to adopt amendments to Form PF that will impact the required reporting for SEC-registered investment advisers that file on Form PF (Form PF Amendments). [read post]
28 Feb 2024, 8:30 am
The Securities and Exchange Commission today announced that William Birdthistle, the Director of the Division of Investment Management, will depart the agency, effective March 8, 2024. [read post]
