Search for: "Securities and Exchange Commission"
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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]
28 Feb 2024, 6:51 am
The Securities and Exchange Commission has charged Paul A. [read post]
28 Feb 2024, 6:32 am
Similarly, some activists were hesitant to jump into the fray until the Securities and Exchange Commission (“SEC”) announced final rules governing its proposed modernization of the Schedule 13D reporting system. [read post]
28 Feb 2024, 6:32 am
Similarly, some activists were hesitant to jump into the fray until the Securities and Exchange Commission (“SEC”) announced final rules governing its proposed modernization of the Schedule 13D reporting system. [read post]
27 Feb 2024, 11:22 pm
Economically solvent immigrants stimulate the Spanish economy with investments, spending, and tax dollars — and in exchange, receive a long-term visa that confers with it many privileges. [read post]
27 Feb 2024, 9:01 pm
New rules issued by the Securities and Exchange Commission (SEC) and an enforcement action by the agency against SolarWinds, a software developer that was the victim of a serious cyberattack, provide detailed guidelines. [read post]
27 Feb 2024, 1:41 pm
The Securities and Exchange Commission today charged Paul A. [read post]
27 Feb 2024, 10:22 am
Securities and Exchange Commission (SEC), the OSC Whistleblower Program offers monetary awards to individuals who voluntarily provide the agency with original information that leads to a successful enforcement action. [read post]
