Search for: "Securities and Exchange Commission"
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8 Feb 2024, 1:02 pm
The disciplinary order found Kennedy in violation of several securities regulations, including Section 10(b) of the Securities Exchange Act of 1934, Regulation Best Interest, and various FINRA rules. [read post]
8 Feb 2024, 12:20 pm
The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the Commodity Futures Trading…Read the Full Press Release Have a securities law question? [read post]
8 Feb 2024, 9:12 am
In exchange for such protections, though, the Act provides that it is the sole remedy for work-related harm. [read post]
8 Feb 2024, 9:09 am
On Tuesday, February 6, 2024, the United States Securities and Exchange Commission promulgated final rules relating to changing the definition of dealer pursuant to the Securities Exchange Act of 1934. [read post]
7 Feb 2024, 10:05 am
The Securities and Exchange Commission today announced charges against TradeStation Crypto, Inc., based in Plantation, Florida, for failing to register the offer and sale of a crypto lending product that allowed U.S. investors to deposit or purchase…Read the Full Press Release Have a securities law question? [read post]
7 Feb 2024, 8:30 am
Securities and Exchange Commission, Dish Network reported that it incurs “subscriber-acquisition costs of $1,065 per new DISH TV subscriber. [read post]
7 Feb 2024, 5:34 am
According to the Securities and Exchange Commission (SEC)’s Press Release, J P Morgan will pay an SEC settlement for silencing potential whistleblowers. [read post]
6 Feb 2024, 1:46 pm
The Securities and Exchange Commission settled accounting fraud charges against Cloopen Group Holding Limited, a China-based provider of cloud communications products and services. [read post]
6 Feb 2024, 1:30 pm
The Securities and Exchange Commission today announced settled accounting fraud charges against Cloopen Group Holding Limited, a China-based provider of cloud communications products and services whose American depositary shares formerly traded on the…Read the Full Press Release Have a securities law question? [read post]
6 Feb 2024, 9:24 am
The SEC (Securities & Exchange Commission) has filed a summary judgment against two former employees of Bridgewater, NJ-based Synchronoss Technologies, Inc. [read post]
6 Feb 2024, 9:00 am
The Securities and Exchange Commission today adopted two rules that require market participants who engage in certain dealer roles, in particular those who take on significant liquidity-providing roles in the markets, to register with the SEC, become…Read the Full Press Release Have a securities law question? [read post]
6 Feb 2024, 6:58 am
For example, both the Securities and Exchange Commission and the Internal Revenue Service have programs where whistleblowers may recover significant awards based on the success of the government’s enforcement activity. [read post]
6 Feb 2024, 6:13 am
Unfortunately, these types of alternative investment products continue to popular among brokers due to their high commissions. [read post]
5 Feb 2024, 9:05 pm
NAIFA also notes that a recent rule from the Securities and Exchange Commission requires broker-dealers to act in investors’ best interests when making recommendations about securities transactions or investment strategies. [read post]
5 Feb 2024, 9:01 pm
On January 16, 2024, the Securities and Exchange Commission announced a settled enforcement action against JP Morgan Securities, LLC (“JPMS”) for violating Rule 21F-17(a) of the Securities Exchange Act of 1934.[1] Like other recent 21F-17(a) cases brought by the SEC, the case involved a claim that certain confidentiality language in an agreement with individuals would impede those individuals from reporting potential… [read post]
5 Feb 2024, 2:05 pm
The US Securities & Exchange Commission (SEC) is currently investigating Moretz following allegations of “certain provisions of federal securities laws,” including Section 10(b) of the Exchange Act and Rule 10b-5. [read post]
5 Feb 2024, 1:30 pm
If any of your Charter rights have been violated before or after your arrest, you may be able to have some or all of the evidence that the Crown is relying on to secure a conviction excluded under s. 24(2) of the Charter. [read post]
5 Feb 2024, 10:06 am
In the following guest post, Anne Catapano, VP Financial Lines Claims, Ascot Insurance Company, Christina Errico, VP, Professional Liability Claims Manager, Ascot Insurance Company, Elan Kandel, Member, Bailey Cavalieri LLC, James Talbert, Associate, Bailey Cavalieri LLC and Tyler Hopkins, Associate, Bailey Cavalieri LLC, review the past year’s key management and professional liability insurance coverage decisions. [read post]
5 Feb 2024, 6:10 am
Chang entered the securities industry in 2002. [read post]
4 Feb 2024, 9:01 pm
Annex SAMPLE RESOLUTION – SUBSIDIARY COMPENSATION RECOUPMENT POLICY WHEREAS, [Issuer Subsidiary] (“Subsidiary Issuer”) is a [wholly owned] subsidiary of [Listed Pubco] that may issue securities that may be traded on [the New York Stock Exchange][Nasdaq][, with Subsidiary Issuer’s payment obligations on such securities fully and unconditionally guaranteed by [Listed Pubco]]; WHEREAS, [Listed Pubco] has previously adopted the [Listed Pubco]… [read post]
