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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]
27 Feb 2024, 4:20 am
“We do not believe importing security forces from [China] will help any Pacific Island country. [read post]
27 Feb 2024, 4:03 am
Securities and Exchange Commission (SEC), the European Union, and global sustainability summits hint at the impending upheaval in regulatory frameworks that challenge companies to reassess their carbon footprints and ecological impacts more broadly. [read post]
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
26 Feb 2024, 9:15 pm
Bloomberg reported on the decision, and summarized it as follows: The Securities and Exchange Commission “acted contrary to law and in excess of statutory authority when it amended the proxy rules’ definition of ‘solicit’ and ‘solicitation’ to include proxy voting advice for a fee,” Judge Amit P. [read post]
26 Feb 2024, 9:02 pm
Securities and Exchange Commission. [read post]
26 Feb 2024, 5:11 am
The rules will be effective 30 days after publication in the Federal Register (Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission, Release No. 34-99582, February 22, 2024).The updates to the SEC’s Supplemental Ethics Rules, 5 CFR Part 4401.102, Supplemental Standards of Conduct for Members and Employees Securities and Exchange Commission include:Prohibitions Against Financial… [read post]
24 Feb 2024, 7:00 am
., the U.S. offers awards to financial whistleblowers through whistleblower programs like the one administered by the Securities and Exchange Commission (SEC). [read post]
23 Feb 2024, 9:05 pm
In an article for the University of Nevada Las Vegas Gaming Law Journal, Matt Jones of the Securities and Exchange Commission and practitioner David E. [read post]
23 Feb 2024, 11:55 am
The Securities and Exchange Commission of the U.S. [read post]
23 Feb 2024, 11:06 am
Ex-Morgan Stanley Broker Gary Chang Barred by Securities Regulators According to a press release, Chingyuan “Gary” Chang, a former registered representative and investment adviser representative, settled charges with the Securities and Exchange Commission (SEC) for misappropriating funds from brokerage customers and an advisory client. [read post]
