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29 Nov 2023, 9:01 pm
” The SEC’s press release specifically called out actions against several large banks, among 22 other advisory firms, broker-dealers, and credit rating agencies, which resulted in over $400 million in penalties. [read post]
18 Nov 2023, 8:55 am
” In re Marriage of Gary, 894 NE 2d 809 – Ill: Appellate Court, 2nd Dist. 2008 They say that if you don’t know the law or the facts of your case, you should at least know your judge. [read post]
15 Nov 2023, 10:21 pm
In 1787, people held their wealth in land because there was no stock market or bond market yet and few banks. [read post]
14 Nov 2023, 9:01 pm
“The investing public benefits from the Division of Enforcement’s work as a cop on the beat,” said SEC Chair Gary Gensler. [read post]
8 Nov 2023, 9:05 pm
ENDNOTES [1] Gary Gensler, Chair, Sec. [read post]
7 Nov 2023, 9:05 pm
Central banks and regulators still have to produce a regulatory AI framework. [read post]
2 Nov 2023, 9:01 pm
This statement was issued on November 2, 2023, by Gary Gensler, chair of the U.S. [read post]
2 Nov 2023, 3:00 am
In discussing a “loan” connected to one Hunter-connected company, Rosemont Seneca Bohai, IRS whistleblower Gary Shapley called this a classic tax-evasion move. [read post]
30 Oct 2023, 11:26 am
By Kimberly Babin Law in general, is not only derivative of ethics, but also necessitates ethical consideration and conduct in its practice.[1]Art law is not immune to that need. [read post]
23 Oct 2023, 4:24 am
On the very same day, James wrote a check in that same amount to the personal bank account of his brother Joe, who had left office as Vice President and was widely discussed as a possible candidate for the presidency. [read post]
22 Oct 2023, 9:05 pm
ENDNOTES [1] Will Canny, Bank of America Customers’ Crypto Activity Slowed as Market Slid, Coindesk (May 11, 2023, 1:03 PM), https://www.coindesk.com/markets/2022/07/01/bank-of-america-customers-crypto-activity-slowed-as-market-slid/ [2] Legislative Highlights, 41 Am. [read post]
17 Oct 2023, 7:42 am
.), in a letter to SEC Chair Gary Gensler, accused the SEC of obstructing Congressional oversight through delays and misdirection.In June Rep. [read post]
16 Oct 2023, 7:48 am
"Securities lending played a role in the 2008 financial crisis, and, currently, the securities lending market is opaque,” said SEC Chair Gary Gensler. [read post]
10 Oct 2023, 9:03 pm
This statement was issued on October 10, 2023, by Gary Gensler, chair of the U.S. [read post]
2 Oct 2023, 9:50 am
By Wyatt Fore [Draft] Guideline 12: Acquisitions of partial control or common ownership may in some situations substantially lessen competition.[1] Portfolio investors may soon find that their investments could be the subject of increased antitrust scrutiny, resulting from new federal enforcement guidelines. [read post]
29 Sep 2023, 7:55 am
By Suzanne CosgroveIn testimony before the House of Representatives’ Committee on Financial Services Wednesday, SEC Chairman Gary Gensler reiterated his stance that the SEC needs to “freshen up” its rules to promote efficiency and competition in the more than $40 trillion equity markets. [read post]
28 Sep 2023, 12:16 pm
The Securities and Exchange Commission (SEC) has taken significant action against Bruderman Asset Management, now known as Gary Goldberg Planning Services, LLC (BAM), and its founder, Matthew J. [read post]
19 Sep 2023, 2:06 am
RELATIONS Five Americans jailed in Iran were released after $6bn of Iranian funds held in South Korea reached banks in Doha, concluding the controversial deal. [read post]
18 Sep 2023, 4:46 am
Former Goldman partner Gary Gensler once chaired the CFTC and now chairs the SEC. [read post]
15 Sep 2023, 6:30 am
Llewellyn, Fenwick & West LLP, on Wednesday, September 13, 2023 Tags: Disclosure, esg reporting, Financial regulation, Mergers & acquisitions, Monetary policy, SEC enforcement Testimony of Chair Gary Gensler Before the U.S Senate Committee on Banking, Housing, and Urban Affairs Posted by Gary Gensler, U.S. [read post]