Search for: "Securities and Exchange Commission"
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16 Feb 2024, 6:06 am
The Securities and Exchange Commission today announced that registered investment adviser Van Eck Associates Corporation has agreed to pay a $1.75 million civil penalty to settle charges that it failed to disclose a social media influencer’s role in the…Read the Full Press Release Have a securities law question? [read post]
15 Feb 2024, 9:08 pm
Authors: Ray Giblett, James Morris, Rajaee Rouhani, Stephen Lee, Jeremy Moller, Charles Nugent-Young, Merren Taylor, Timothy Chan, Joshua Kan, Dylan Sault and Steven Li Welcome to our first wrap up of the year! [read post]
15 Feb 2024, 9:05 pm
On January 24, 2024, the Securities and Exchange Commission (SEC) adopted final rules that impose significant additional procedural and disclosure requirements on initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and in business combination transactions involving SPACs (de-SPACs). [read post]
15 Feb 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
15 Feb 2024, 8:26 am
SEC Complaint: If you believe the broker’s actions involve serious misconduct or violate securities laws, you can file a complaint with the Securities and Exchange Commission (SEC). [read post]
15 Feb 2024, 4:47 am
The prime ministers of Spain and Ireland asked the European Commission yesterday to urgently review whether Israel is complying with its human rights obligations. [read post]
15 Feb 2024, 2:54 am
Prior to his retirement about 10 years ago at the age of sixty-three, he concentrated on corporate and securities law and represented high technology and financial services companies. [read post]
14 Feb 2024, 12:20 pm
The Securities and Exchange Commission today proposed a rule that would update the dollar threshold for a fund to qualify as a “qualifying venture capital fund” for purposes of the Investment Company Act of 1940 (Act). [read post]
14 Feb 2024, 10:39 am
On February 6, 2024, by a 3-2 vote, the US Securities and Exchange Commission adopted new rules that expand the definition of “dealer” under the federal securities laws. [read post]
14 Feb 2024, 5:43 am
“This proposed rule would level the regulatory playing field, protect U.S. economic and national security, and safeguard American businesses. [read post]
13 Feb 2024, 9:05 pm
This total excludes rules of the stock exchanges, which number in the thousands each year, in all administrations. [read post]
13 Feb 2024, 8:14 pm
In a letter to the Federal Trade Commission and Securities and Exchange Commission, Wyden urged the government to act quickly to protect the privacy of patients, and to hold the data broker accountable for misleading statements about its actions. [read post]
13 Feb 2024, 3:52 pm
The Fines are in Connection with Financial Advisors Using Text Messaging and Other Forms of Direct Communication, like WhatsApp to Communicate with Clients On February 9, 2024, the United States Securities and Exchange Commission (“SEC”) fined sixteen firms a total of $81 million for “widespread and longstanding failures” by firms and their employees “to [...] [read post]
13 Feb 2024, 9:09 am
Of the 23 Exemptions, the following are relevant to entities that operate in the investment management space: Any broker or dealer of securities that is registered under Section 15 of the Securities Exchange Act of 1934 (the “Exchange Act”); Any entity registered with the SEC under the Exchange Act; An investment company under Section 3 of the Investment Company Act and registered with the SEC; An RIA (please note that state… [read post]
13 Feb 2024, 8:44 am
Those that were formed by filing a document with a state corporation commission or similar authority are subject to the Corporate Transparency Act unless an exemption applies. [read post]
13 Feb 2024, 5:06 am
The Securities and Exchange Commission (SEC) reported a record-breaking year for the SEC Whistleblower Program in 2023. [read post]
12 Feb 2024, 10:00 pm
2023 was a watershed year for the private fund industry, not only because the US Securities and Exchange Commission (SEC) adopted a package of new regulations that will substantially alter the private fund landscape (subject to pending litigation), but also as a result of significant court decisions and other legislative developments. [read post]
12 Feb 2024, 10:00 pm
2023 was a watershed year for the private fund industry, not only because the US Securities and Exchange Commission (SEC) adopted a package of new regulations that will substantially alter the private fund landscape (subject to pending litigation), but also as a result of significant court decisions and other legislative developments. [read post]
12 Feb 2024, 10:00 pm
2023 was a watershed year for the private fund industry, not only because the US Securities and Exchange Commission (SEC) adopted a package of new regulations that will substantially alter the private fund landscape (subject to pending litigation), but also as a result of significant court decisions and other legislative developments. [read post]
12 Feb 2024, 10:00 pm
2023 was a watershed year for the private fund industry, not only because the US Securities and Exchange Commission (SEC) adopted a package of new regulations that will substantially alter the private fund landscape (subject to pending litigation), but also as a result of significant court decisions and other legislative developments. [read post]
