Search for: "US Securities and Exchange Commission"
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21 Dec 2023, 9:09 am
The Securities and Exchange Commission charged Laura Tyler Perryman, the former CEO and co-founder of Florida-based medical device startup Stimwave Technologies Inc. [read post]
21 Dec 2023, 9:04 am
The Securities and Exchange Commission charged Laura Tyler Perryman, the former CEO and co-founder of Florida-based medical device startup Stimwave Technologies Inc., with defrauding investors out of approximately $41 million by making false and misleading statements about one of the company’s key medical device products. [read post]
21 Dec 2023, 5:18 am
Security Council separately sought to reach agreement on a new version of the draft ceasefire resolution. [read post]
19 Dec 2023, 9:05 pm
Hence, the Securities and Exchange Commission (SEC) prohibits UCC members from trading debt securities of the bankrupt firm. [read post]
19 Dec 2023, 10:07 am
These measures are similar to the highly successful Securities and Exchange Commission Whistleblower program, which has recovered over $6.3 billion from wrongdoers and paid over $1.3 billion in whistleblower awards since its start in 2011. [read post]
19 Dec 2023, 6:34 am
This week SunPower shares are down sharply following a Securities and Exchange Commission (SEC) filing warning of “substantial doubt” about its ability to continue operating. [read post]
19 Dec 2023, 6:12 am
Nelson, J.D.A majority of the Commission declined to further entertain a rulemaking petition submitted in July 2022 by Coinbase Global, Inc. that asked the Commission to engage in rulemaking establishing rules of the road for blockchain and crypto activities in the securities sphere. [read post]
18 Dec 2023, 9:01 pm
The proposed guidance leverages the work the CFTC has done through these public initiatives to establish standards for VCC derivatives contract listings on DCMs, and also references work done by the International Swaps and Derivatives Association (“ISDA”), the Board of the International Organization of Securities Commissions (“IOSCO”), and the Futures Industry Association (“FIA”). [read post]
18 Dec 2023, 3:29 pm
The FCPA bars US companies from making payments to foreign government officials to secure any kind of business advantage. [read post]
18 Dec 2023, 2:48 pm
Please join us in welcoming Jon to our firm. **** Q4 Matters SEC Charges Kraken for Operating as an Unregistered Securities Exchange. [read post]
18 Dec 2023, 1:32 pm
The Security & Exchange Commission’s new cyber attack rules require companies to report the attack within four business days of deciding whether they are “material” to shareholders. [read post]
18 Dec 2023, 5:19 am
The Case at a Glance In a notable case wherein the SEC (Securities and Exchange Commission) was pitted against Luis Jimenez Carrillo, the complexities of financial settlements in divorce proceedings were brought into sharp focus. [read post]
17 Dec 2023, 9:03 pm
An important part of the Commission’s responsibility is determining how best to deploy the resources that Congress entrusts to us. [read post]
17 Dec 2023, 9:01 pm
Securities and Exchange Commission. [read post]
15 Dec 2023, 9:35 am
The Securities and Exchange Commission sued Musk in October to force him to testify for a third time in a probe related to purchases of Twitter stock he made before he bought the company. [read post]
15 Dec 2023, 6:30 am
Securities and Exchange Commission, on Thursday, December 14, 2023 Tags: 2024, PCAOB, Public Company Accounting Oversight Board, Sarbanes–Oxley Act, SEC [read post]
15 Dec 2023, 6:30 am
Securities and Exchange Commission, on Thursday, December 14, 2023 Tags: 2024, PCAOB, Public Company Accounting Oversight Board, Sarbanes–Oxley Act, SEC [read post]
15 Dec 2023, 5:32 am
The data has been shared with members of Congress and includes information on the weaponry used and the casualties caused by both sides. [read post]
14 Dec 2023, 9:01 pm
”[8] These changes are similar to the United States Securities and Exchange Commission’s new Cybersecurity Disclosure Rule, which requires covered entities to report cybersecurity incidents that occur at their third-party service providers.[9] Consequentially, the Amended Regulation, in effect, imposes additional downstream pressure on third-party service providers who work with covered entities to ensure they notify their customers of triggering cybersecurity… [read post]
14 Dec 2023, 11:05 am
If the investment is a “security”, you have to comply with the Securities and Exchange Commission regulations. [read post]
