Search for: "International Securities Exchange"
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2 Nov 2023, 6:36 am
Morgan Securities LLC (CRD#:79), and Deutsche Bank Securities Inc. [read post]
1 Nov 2023, 9:01 pm
However, not all news is good news for international enforcers. [read post]
1 Nov 2023, 2:07 pm
A possible settlement with Justice Department and Securities and Exchange Commission involves a fine of between $500 million and $1 billion, and the company may also admit that it didn’t properly oversee its employees and commit to specific compliance changes, but likely wouldn’t have to plead guilty to a crime. [read post]
1 Nov 2023, 11:41 am
”.[12] There are few different schemes of operations that companies offering fractionalized art ownership employ; Ventures such as Freeport or Masterworks offer prospective[13] buyers a purchase of class A shares under Securities and Exchange Commission (SEC), which are subjected to ordinary securities AML rules. [read post]
31 Oct 2023, 10:22 pm
At the core of any insurance policy is a simple principle: coverage in exchange for premiums, which are adjusted based on risk. [read post]
31 Oct 2023, 9:01 pm
In a speech on October 24, 2023, the director of the Securities and Exchange Commission’s (SEC’s) Enforcement Division, Gurbir Grewal, described the scenarios in which the commission would bring an enforcement action against a compliance officer. [read post]
31 Oct 2023, 3:02 pm
The complaint alleges that SolarWinds and Brown violated the antifraud provisions of the Securities Act of 1933 and of the Securities Exchange Act of 1934; that SolarWinds violated reporting and internal control provisions of the Exchange Act; and that Brown aided and abetted the company’s violations. [read post]
31 Oct 2023, 12:43 pm
Enlarge (credit: Getty Images | Sean Gladwell) The US Securities and Exchange Commission sued SolarWinds Corp. and Chief Information Security Officer Timothy Brown yesterday, alleging that they concealed security failures that led to a nearly two-yearlong cyberattack known as "Sunburst. [read post]
31 Oct 2023, 11:41 am
” The SEC’s complaint, filed in the Southern District of New York, alleges that SolarWinds and Brown violated the antifraud provisions of the Securities Act of 1933 and of the Securities Exchange Act of 1934; SolarWinds violated reporting and internal controls provisions of the Exchange Act; and Brown aided and abetted the company’s violations. [read post]
31 Oct 2023, 8:05 am
(b) Within 120 days of the date of this order, the Secretary of State shall: (i) consider initiating a rulemaking to establish new criteria to designate countries and skills on the Department of State’s Exchange Visitor Skills List as it relates to the 2-year foreign residence requirement for certain J-1 nonimmigrants, including those skills that are critical to the United States; (ii) consider publishing updates to the 2009 Revised Exchange Visitor Skills List (74 FR 20108);… [read post]
30 Oct 2023, 10:10 pm
In exchange for no-fault workers’ compensation benefits, workers give up the right to sue their employer for a workplace injury. [read post]
30 Oct 2023, 1:33 pm
The Securities and Exchange Commission today announced charges against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy G. [read post]
30 Oct 2023, 9:39 am
This was followed by the Securities and Exchange Commission taking a firm stance on whistleblower provisions within general releases. [read post]
30 Oct 2023, 9:16 am
It plans to proceed with an approach that facilitates access to international liquidity pools under specific circumstances. [read post]
30 Oct 2023, 5:40 am
The Israeli army and Hezbollah have exchanged fire on a daily basis since the start of the Israel-Hamas war three weeks ago. [read post]
30 Oct 2023, 3:30 am
Instead, it must be enacted into permanent law so political organizations of both political parties can rest assured the Securities and Exchange Commission will not target them. [read post]
28 Oct 2023, 1:01 am
(In exchange, Cortés left the indigenous population with a number of Western diseases such as smallpox which caused huge fatalities, but we digress.) [read post]
27 Oct 2023, 6:00 am
In a call to discuss a share exchange offer Visa recently floated with its stockholders, Visa CEO Ryan McInerney told analysts the card giant values the unresolved claims at between $1.4 billion and $4.0 billion, according to a transcript of the Sept. 13 call. [read post]
26 Oct 2023, 9:01 pm
Securities and Exchange Commission (the “SEC”) had highlighted certain legal challenges in executing a bail-in under the U.S. securities laws. [read post]
26 Oct 2023, 12:50 pm
Look for firms that are members of relevant regulatory bodies, such as the Securities and Exchange Commission (SEC), or the Financial Industry Regulatory Authority (FINRA). [read post]
