Search for: "Securities and Exchange Commission"
Results 61 - 80
of 26,311
Sort by Relevance
|
Sort by Date
9 May 2024, 3:00 am
That’s not the case, and this Dorsey blog provides a reminder of the potentially calamitous consequences to the issuer associated with paying an unlicensed finder: The Securities and Exchange Commission (SEC) has taken the position that a person receiving a finder’s fee with respect to a purchase of securities by a U.S. investor will, in many cases, be treated as having acted as a “broker” within the meaning of federal securities… [read post]
8 May 2024, 10:30 pm
This could only be resolved if Article 5 were also amended to exclude from its scope not only social security but also youth mobility. [read post]
8 May 2024, 7:20 pm
The Securities and Exchange Commission (SEC) charged Woods and his firm, Livingston Group Asset Management Company, for securities fraud in August 2021, uncovering a $110 million Ponzi scheme. [read post]
8 May 2024, 12:07 pm
At least until the Securities and Exchange Commission got involved and accused Mr. [read post]
8 May 2024, 11:12 am
The Securities and Exchange Commission today announced settled charges against Eastone Equities, LLC (“Eastone”), which funds and develops real estate projects, and its owner Kevin Yu, arising out of an unregistered offering of $1.4 million in promissory notes in 2019. [read post]
8 May 2024, 8:31 am
The Securities and Exchange Commission (SEC) has sent clear signals that it will pursue companies for “AI washing” — touting the use of artificial intelligence in ways that are false or misleading. [read post]
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]
