Search for: "Securities and Financial Markets Association"
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29 Apr 2024, 9:01 pm
Owns or Operates Financial Services Sector Infrastructure The entity owns or operates any legal entity that qualifies as one or more of the financial services entities specified in the Proposed Regulation, including (i) A banking or other organization regulated by the OCC, the Federal Reserve Board, or the FDIC under certain regulations; (ii) A federally insured credit union regulated by the NCUA under a specific regulation; (iii) A designated contract market, swap… [read post]
29 Apr 2024, 6:31 pm
In this episode of The Geek in Review podcast, hosts Marlene Gebauer and Greg Lambert welcome back Richard Tromans, founder of Artificial Lawyer, after his year-and-a-half sabbatical. [read post]
29 Apr 2024, 5:52 am
In the plaintiffs’ view, the new rule “represents simply the latest example of the Commission’s attempts to thoughtlessly apply rules geared toward traditional financial markets to the digital assets industry” (Crypto Freedom Alliance of Texas v. [read post]
29 Apr 2024, 5:37 am
(Market share royalties allows the population of recordings to increase faster than the artificially suppressed revenue, while excluding songwriters from participating in the increases in market value reflected in the share price. [read post]
25 Apr 2024, 9:05 pm
Securities and Exchange Commission, 140 S. [read post]
25 Apr 2024, 4:31 am
This study highlights a critical issue within the cybersecurity realm: the underestimation of financial risks associated with cyber incidents. [read post]
24 Apr 2024, 12:16 pm
In October 2023, the Ontario Securities Commission (OSC) published a report detailing the use cases of AI and the associated risks within Ontario’s capital markets. [read post]
23 Apr 2024, 9:52 am
The FCA proposes that the labelling and naming and marketing requirements, and the associated consumer-facing and pre-contractual disclosures, come into force on 2 December 2024. [read post]
20 Apr 2024, 9:05 pm
She has been awarded the Outstanding Mentor Award by the Business Associations Section of the American Association of Law Schools and the Trailblazer Award by the Minority Group Section of the American Association of Law Schools. [read post]
20 Apr 2024, 6:37 pm
-China Economic and Security Review Commission“China and the Middle East”Testimony by:Jon B. [read post]
20 Apr 2024, 8:07 am
Leadership transitions, like CS Disco’s strategic move to bolster its direction and growth, signal new chapters focused on enhancing operational capabilities and expanding market reach. [read post]
19 Apr 2024, 9:27 am
SEC Adopts Market Participant Dealer Rule. [read post]
19 Apr 2024, 3:06 am
Strategic marketing. [read post]
19 Apr 2024, 3:00 am
Federal law and FEC regulations allow donor funds to be spent at a candidate’s business so long as the campaign pays fair market value, experts say. [read post]
18 Apr 2024, 9:05 pm
Hill explained that the Federal Reserve provides financial institutions with a “safe place to keep money and ways to facilitate payments. [read post]
18 Apr 2024, 9:01 pm
Or, it may discuss security risks or competitive risks from AI. [read post]
18 Apr 2024, 7:37 am
The actions only address areas of the Rule that the SEC has previously issued associated guidance, either through the Marketing Rule’s Adopting Release or the subsequent FAQ’s. [read post]
18 Apr 2024, 6:26 am
Any statements contained herein are not intended or written by the writer to be used, and nothing contained herein can be used by you or any other person, for the purpose of (1) avoiding penalties that may be imposed under federal tax law, or (2) promoting, marketing or recommending to another party any tax-related transaction or matter addressed herein. [read post]
17 Apr 2024, 6:23 am
On 17 April 2024, the Financial Stability Board (FSB) published a consultation report that sets out policy recommendations to enhance the liquidity preparedness of non-bank market participants for margin and collateral calls in centrally and non-centrally cleared derivatives and securities markets (including securities financing such as repo). [read post]
16 Apr 2024, 9:05 pm
Another theory posits that the private equity model merely reflects inefficient actions market actors must take to avoid the application of the federal securities laws (Spindler 2009). [read post]
