Search for: "Securities and Exchange Commission v. Fiscal Fund"
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4 Nov 2014, 2:48 pm
(Priever v. [read post]
16 Feb 2021, 2:23 pm
Pension Fund, 575 U.S. 175 (2015). [read post]
7 May 2014, 9:30 pm
Securities and Exchange Commission (SEC) to administer the program. [read post]
5 Apr 2018, 8:24 am
On March 7, 2018, the SEC released a public statement affirming its view that platforms that trade securities and operate as exchanges must register as a national securities exchange or operate under an exemption from registration. [read post]
8 Mar 2012, 9:08 pm
Within its core obligations, the Fiscal Compact Treaty fails to secure basic values such as clarity and predictability. [read post]
17 Feb 2011, 8:27 am
Goliath” proportions is going on in Washington, and they want to educate Americans about the disastrous consequences that will occur if the budgets of Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) are slashed. [read post]
10 Mar 2014, 7:35 am
Because this bill would expand the scope of the crime of perjury, the bill would impose a state-mandated local program.Existing law, the Corporate Securities Law of 1968, provides for the regulation of the issuance of corporate securities, requires the qualification of an offer or sale of securities, and provides for exemptions from qualification.This bill would exempt the issuance of a membership by a worker cooperative company, as specified, from certain… [read post]
31 Aug 2018, 9:14 am
, United States v. [read post]
8 Jul 2008, 8:53 am
For additional information contact [www.gallerywatch.com]
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07/07/2008
Memorandum of Understanding Between the Securities and Exchange Commission and the Board of Governors of the Federal Reserve System (PDF 37.4 KB)Memorandum Announces an Agreement to Increase Information Sharing in Matters Pertaining to the Gramm-Leach-Bliley Act and for Other Purposes07/07/2008
Memorandum to EPA… [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]
5 Jan 2015, 3:31 pm
Statements must be sent to the fund or, in certain cases, investors in the fund, within 120 days after the fund’s fiscal year end. [read post]
1 Feb 2018, 11:50 am
Julia Solomon-Strauss and Stephen Szrom discussed the latest developments in United States v. al-Nashiri. [read post]
15 Mar 2011, 6:21 pm
“Lite-Touch” Regulatory Approach for Certain CFTC Registrants In general, CFTC registered CPOs and CTAs must adhere to certain disclosure and reporting requirements as specified in the Commodity Exchange Act (“CEA”) and regulations thereunder. [read post]
2 Mar 2012, 4:26 pm
As the new year is upon us, there are some important annual compliance obligations Investment Advisers either registered with the Securities and Exchange Commission (the “SEC”) or with a particular state (“Investment Adviser”) should be aware. [read post]
28 Oct 2013, 9:16 am
Concerns about mass deportation were summarily dismissed, however, with Congressmen emphasizing the importance of national security, fiscal responsibility and the rule of law. [read post]
9 Jun 2021, 8:28 am
It ought not to escape attention that the Senate passage of the bull tool place the day after the CECC issued a public statement condemning Apple's operations in China as in contravention of the moral position and the political principles of the United States (Public Pressure on Private Conduct in Defense of Liberal Democratic Values: Congressional-Executive Commission on China Chairs Issue Statement about Forced Labor in Apple’s Supply Chain in Xinjiang). [read post]
18 May 2012, 10:44 am
On Friday, December 16, 2011 (the day after the Commission appealed Judge Rakoff's decision), the House Committee on Financial Services announced that it would "hold a hearing next year to examine the practice by the Securities and Exchange Commission of settling cases with defendants that neither admit nor deny complaints made by the SEC. [read post]
4 Dec 2013, 9:07 am
Registered investment advisers (“RIAs”), or managers filing as exempt reporting advisers (“ERAs”), with the SEC or a state securities authority must file an annual amendment to Form ADV within 90 days of the end of their fiscal year. [read post]
27 Oct 2017, 2:16 am
-regulated Bitcoin futures exchange. [read post]
1 Feb 2010, 6:36 am
The Numbers and Trends By virtually all statistical measures, the level of enforcement activity has increased substantially under this Commission. [read post]
