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8 May 2024, 7:52 am
Elsewhere, the Second Circuit affirmed the dismissal of Exchange Act claims against Coinbase due to insufficiently pleaded transaction-specific contracts. [read post]
7 May 2024, 11:37 am
Don’t include the Securities and Exchange Commission logo on your website. [read post]
7 May 2024, 7:35 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
7 May 2024, 12:15 am
On May Day, the plaintiffs filed their opposition to California's motion to dismiss which highlights some differences between the California statutes and the climate disclosure rule recently adopted by the Securities and Exchange Commission (and also recently challenged): But even still, the State overstates any overlap. [read post]
6 May 2024, 9:05 pm
Public companies face a wide range of legal claims, yet the Financial Accounting Standards Board (FASB) and the Securities and Exchange Commission (SEC) have questioned whether public companies provide sufficient disclosure to warn investors of potential losses from these claims. [read post]
6 May 2024, 11:28 am
Enlarge (credit: NurPhoto / Contributor | NurPhoto) Continuing its crackdown on cryptocurrency exchanges, the Securities and Exchange Commission (SEC) may potentially sue Robinhood Markets over securities violations alleged in the popular investing app's crypto unit, Robinhood Crypto said Monday. [read post]
6 May 2024, 8:39 am
By the early 1990s, digital registries such as the Art Loss Register (ALR) and commissions like the Commission for Art Recovery were established worldwide, specifically focusing on the identification of stolen artworks. [read post]
4 May 2024, 8:31 pm
Examples of these other exposures that lax privacy, data security, data breach and other cybersecurity practice may create include: Business operating losses from resulting operational disruptions and damages to customer, business partner, shareholder and public trust; Federal Sentencing Guidelines organizational criminal liability arising from violations of electronic crime and other federal criminal data privacy and security laws; Federal Trade Commission Act… [read post]
3 May 2024, 9:05 pm
Securities and Exchange Commission and the Consumer Financial Protection Bureau only have jurisdiction over TPLF under limited circumstances, such as when TPLF lenders register securities on national exchanges. [read post]
3 May 2024, 2:15 pm
The Securities and Exchange Commission today announced that Nathaniel H. [read post]
3 May 2024, 8:11 am
The Securities and Exchange Commission today charged audit firm BF Borgers CPA PC and its owner, Benjamin F. [read post]
3 May 2024, 8:05 am
The Securities and Exchange Commission today charged audit firm BF Borgers CPA PC and its owner, Benjamin F. [read post]
3 May 2024, 6:00 am
The Securities and Exchange Commission today charged audit firm BF Borgers CPA PC and its owner, Benjamin F. [read post]
2 May 2024, 2:44 pm
The law also includes salaries, wages, overtime pay, bonuses, commissions, royalties, rents, dividends, severance pay, pensions, trust income, annuities, social security benefits, and benefits that are not means tested. [read post]
2 May 2024, 2:14 pm
When Murray refused and reported the leaders, his supervisor recommended he either be transferred to a role that didn’t have Securities and Exchange Commission certification responsibilities or discharged from UBS entirely. [read post]
2 May 2024, 12:52 pm
Securities and Exchange Commission (SEC) issued a $2.5 million whistleblower award to a whistleblower who voluntarily disclosed original information which led to a successful enforcement action. [read post]
2 May 2024, 12:35 pm
FINRA, the self-regulator that oversees brokers and brokerage firms and the SEC (Securities and Exchange Commission) may impose sanctions such as censures, fines, suspensions and restitution, among others. [read post]
2 May 2024, 8:34 am
Securities and Exchange Commission (SEC) issued a $2.5 million whistleblower award to an individual who voluntarily disclosed original information which led to a successful enforcement action. [read post]
2 May 2024, 8:08 am
Securities and Exchange Commission 23-741Issue: Whether the cross-appeal rule, which prohibits the granting of a remedy in favor of an appellee absent the filing of a cross-appeal, is jurisdictional or otherwise mandatory, or instead admits of any exception, including, among other things, for remands or changes in substantive law. [read post]
2 May 2024, 6:05 am
Serbia is a fully recognized State with representation in all leading intergovernmental bodies, from the United Nations to the Organization for Security and Cooperation in Europe to INTERPOL. [read post]