Search for: "Securities And Exchange Commission"
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16 May 2024, 9:43 am
Recent enforcement actions by the Securities and Exchange Commission (SEC) against firms engaged in AI washing underscore the importance of transparency and accuracy in representing AI capabilities. [read post]
16 May 2024, 7:45 am
The Securities and Exchange Commission today announced that Tina Diamantopoulos has been named Director of the Chicago Regional Office, the Commission’s second-largest regional office. [read post]
16 May 2024, 5:35 am
The Securities and Exchange Commission today announced the adoption of amendments to Regulation S-P to modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal information by certain financial institutions. [read post]
15 May 2024, 9:05 pm
These include posting of margin (i.e., reliable collateral) to secure members’ obligations to the clearinghouse. [read post]
15 May 2024, 9:01 pm
Following an investigation by the SEC’s Division of Enforcement, the Commission institutes an administrative proceeding and finds that because of the mutual conflict of interest created by the audit firm’s provision of non-audit services at reduced rates in exchange for being chosen as the company’s auditor, the audit firm and audit partner were not independent within the meaning of Rule 2-01(b) of Regulation S-X. [read post]
15 May 2024, 11:44 am
SEC Charges Hudson Valley Wealth Management and Founder for Breach of Fiduciary Duty On May 14, 2024, The Securities and Exchange Commission (SEC) announced it has settled charges against Hudson Valley Wealth Management Inc., a registered investment adviser based in New York, and its founder. [read post]
15 May 2024, 11:15 am
The Securities and Exchange Commission published its 2024 report on Form ADV data for investment advisers. [read post]
15 May 2024, 9:55 am
The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed by investment advisers on Form ADV. [read post]
14 May 2024, 12:39 pm
The Securities and Exchange Commission and the U.S. [read post]
14 May 2024, 12:17 pm
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover, for breaching their fiduciary duties by failing to disclose conflicts of interest and making misleading statements to their clients. [read post]
14 May 2024, 11:55 am
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and…Read the Full Press Release Have a securities law question? [read post]
14 May 2024, 10:15 am
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover, for breaching their fiduciary duties by failing to…Read the Full Press Release Have a securities law question? [read post]
13 May 2024, 9:05 pm
Indeed, firms are required under the securities laws to disclose material nonpublic information, at least when they raise capital. [read post]
13 May 2024, 9:01 pm
Securities and Exchange Commission (SEC) announced that UK- and Australia-based mining company Rio Tinto had agreed to pay a $15 million civil penalty to resolve alleged violations of the FCPA. [read post]
13 May 2024, 8:58 pm
In addition, any person who will directly or indirectly hold more than 10 per cent. of the total issued shares in the virtual bank (Significant Shareholder) must possess certain qualifications, including (but not limited to): a good corporate governance framework and reputation; good operational performance and a stable financial status; no history of being accused, charged, or subject to lawsuits related to fraud or corruption by any authority such as the BOT, the Securities and… [read post]
13 May 2024, 3:42 pm
Securities Securities Fraud Claim Duty to Disclose Pure Omissions Private Action Under Rule 10b–5(b) Section 10(b) of the Securities Exchange Act of 1934 Circuit Split Securities and Exchange Commission (SEC) Rule 10b–5(b) makes it unlawful to omit material facts in connection with buying or selling securities when that omission renders “statements… [read post]
13 May 2024, 8:51 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:50 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:45 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:41 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
