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6 Jun 2024, 9:05 pm
Biden vetoed a resolution to preserve a Securities and Exchange Commission (SEC) rule requiring institutions to record digital assets as liabilities on their balance sheets. [read post]
6 Jun 2024, 9:05 pm
Securities and Exchange Commission from 2018 to 2020. [read post]
6 Jun 2024, 2:03 pm
Facebook now petitions for review, supported by “friend of the court” briefs from law professors and former Securities and Exchange Commission officials, by the Chamber of Commerce and other industry groups, and by the Washington Legal Foundation. [read post]
6 Jun 2024, 3:30 am
As John noted last week, the SEC turns 90 today, marking the anniversary of the enactment of the Securities Exchange Act of 1934. [read post]
5 Jun 2024, 9:05 pm
Securities and Exchange Commission from 2018 to 2020. [read post]
5 Jun 2024, 9:01 pm
The National Credit Union Administration is expected to re-propose the same rule in the near future, and the Securities and Exchange Commission has included a rulemaking to implement Section 956 of Dodd-Frank on its rulemaking agenda. [read post]
5 Jun 2024, 3:38 pm
” FINRA, the regulator that oversees brokers and brokerage firms, and the Securities and Exchange Commission may impose regulatory actions against a broker-dealer such as censures, fines, suspensions and restitution, among others. [read post]
5 Jun 2024, 1:45 pm
June 2021 – Crown Capital Securities to Pay $1.6 Million for Overcharges The Securities and Exchange Commission reportedly sanctioned Crown Capital Securities LP to pay nearly $1.6 million to settle charges that it breached its fiduciary duties related to its mutual fund share class selection practices and undisclosed revenue sharing arrangements it had with certain unaffiliated clearing brokers. [read post]
5 Jun 2024, 10:52 am
As a registered broker-dealer, David Lerner Associates falls under the regulatory purview of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). [read post]
5 Jun 2024, 9:58 am
More broadly, the DOJ and Securities and Exchange Commission (SEC) have jurisdiction over foreign companies if they issue stock for American Depositary Receipts (ADRs). [read post]
5 Jun 2024, 9:36 am
The Securities and Exchange Commission has commenced its biennial collection of Diversity Self-Assessment Submissions from Regulated Entities. [read post]
5 Jun 2024, 8:31 am
Firstly, despite ransomware attacks and other cyber breaches against businesses continuing apace, most US-listed companies are unprepared for the Securities and Exchange Commission’s new rules on reporting their cyber readiness and any attacks they suffer, defense counsels told us. [read post]
5 Jun 2024, 5:42 am
(Editor’s note: This article is part of Just Security’s Symposium, International Law in the Face of Russia’s Aggression in Ukraine: The View from Lviv.) [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 1:54 pm
[Green groups dropped their suits after the various challenges to the SEC's climate disclosure rule were consolidated in a fairly conservative circuit. ] In March, the Securities and Exchange Commission (SEC) finalized its long awaited climate disclosure rule, which requires public companies to disclose their greenhouse gas emissions and various climate-related risks to investors as various climate -related risks. [read post]
