Search for: "Securities and Exchange Commission"
Results 621 - 640
of 26,479
Sort by Relevance
|
Sort by Date
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 2:05 pm
The Securities and Exchange Commission today adopted amendments to its ethics rules to strengthen and modernize its ethics compliance program. [read post]
22 Feb 2024, 1:45 pm
The Securities and Exchange Commission today charged Tyler Loudon of Houston, Texas, with insider trading ahead of a February 2023 announcement that London-based oil and gas company BP p.l.c. agreed to acquire TravelCenters of America Inc., a full-…Read the Full Press Release Have a securities law question? [read post]
22 Feb 2024, 6:30 am
Securities and Exchange Commission’s (SEC) proposed climate-related disclosure rule and the European Union’s (EU) Corporate Sustainability Reporting Directive (CSRD).[1] As discussed below, there is a certain core set of disclosure requirements common to these disclosure regimes, including those relating to the material risks that climate change poses to the company based on the Task Force for Climate Financial Disclosures (TCFD). [read post]
22 Feb 2024, 6:30 am
Securities and Exchange Commission’s (SEC) proposed climate-related disclosure rule and the European Union’s (EU) Corporate Sustainability Reporting Directive (CSRD).[1] As discussed below, there is a certain core set of disclosure requirements common to these disclosure regimes, including those relating to the material risks that climate change poses to the company based on the Task Force for Climate Financial Disclosures (TCFD). [read post]
21 Feb 2024, 7:45 am
TIAA-CREF Failed to Comply with Regulation Best Interest in connection with IRAs The Securities and Exchange Commission (SEC) has reportedly imposed a hefty fine exceeding $2.2 million on TIAA-CREF for its alleged failure to comply with Regulation Best Interest in its recommendations regarding individual retirement accounts (IRAs). [read post]
20 Feb 2024, 11:40 am
Securities and Exchange Commission (“SEC”) and the European Commission in the European Union (“EU”), are grappling with the environmental impacts generated by companies. [read post]
20 Feb 2024, 4:00 am
The Securities and Exchange Commission issued a Staff Review of the “Accredited Investor” Definition at the end of 2023. [read post]
19 Feb 2024, 10:00 pm
This resource includes discussion on existing and proposed disclosure requirements of the Securities and Exchange Commission (SEC) related to material ESG matters. [read post]
19 Feb 2024, 9:05 pm
Securities and Exchange Commission (SEC) recently proposed a rule that would require public companies to identify and disclose to investors climate-related risks, such as a corporation’s greenhouse gas emissions and vulnerability to extreme weather events. [read post]
FSTB launches consultation on the proposed licensing regime for providers of OTC VA trading services
18 Feb 2024, 9:38 pm
Background The licensing regime for VA trading platforms (the VATP regime) came into effect in June 2023, which requires VA service providers operating a VATP to be licensed by the Securities and Futures Commission (the SFC). [read post]
18 Feb 2024, 6:38 pm
Our Broker Fraud Attorney Teams Want To Talk To You Nearly one year after the US Securities and Exchange Commission (SEC) permanently barred American Portfolios Financial Services stockbroker Mark Lewton Hopkins, Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to investigate claims of investment losses involving his former clients. [read post]
17 Feb 2024, 3:02 pm
In November 2023, Four Democratic House Representatives sent a letter to the Securities Exchange Commission (SEC) demanding an investigation into Musk’s recent statements regarding the company’s handling of animals. [read post]
16 Feb 2024, 10:22 am
In addition to playing a central role in implementing and enforcing the SOX Act, the Securities and Exchange Commission (SEC), plays a key role in setting and enforcing disclosure requirements, proxy regulations and transparency standards for public companies. [read post]
16 Feb 2024, 9:05 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 27, which will include a discussion of the accredited investor definition and initial public offerings…Read the Full Press Release Have a securities law question? [read post]
16 Feb 2024, 8:06 am
The Securities and Exchange Commission today announced that registered broker-dealer TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), will pay more than $2. [read post]
16 Feb 2024, 7:15 am
The Securities and Exchange Commission’s Office of Credit Ratings published its annual Staff Report to Congress today on Nationally Recognized Statistical Rating Organizations (NRSROs), commonly known as credit rating agencies, to provide findings…Read the Full Press Release Have a securities law question? [read post]
16 Feb 2024, 6:39 am
The SEC (US Securities and Exchange Commission) has exacting criteria for both submission of whistleblower tips and their issuance of any financial bounties, including the amounts. [read post]
