Search for: "In Re Securities and Exchange Commission"
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31 Oct 2019, 3:59 am
Switzerland retaliated in July 2019 by banning the trading of Swiss equities on EU exchanges. [read post]
28 Oct 2019, 7:12 am
Currently, filers and Commission staff must process and validate EDGAR filing fee information within the filing by highly manual and labor-intensive methods. [read post]
25 Oct 2019, 3:00 am
Congress passed laws to ban what they saw as threats to the integrity of elections, foreign policy, and national security. [read post]
24 Oct 2019, 2:40 pm
Securities and Exchange Commission (SEC) initiated three illuminating regulatory and enforcement crypto-related actions, celebrating a virtual Octoberfest of crypto-related initiatives and proclamations. [read post]
24 Oct 2019, 6:07 am
This post is based on a comment letter that CII submitted to the United States Securities and Exchange Commission. [read post]
22 Oct 2019, 3:16 pm
The framework in the proposal is similar to the approach the Securities and Exchange Commission takes for certain investor disclosures. [read post]
16 Oct 2019, 10:01 pm
Today, though, we’ll focus on the United States Securities and Exchange Commission, or SEC, crackdown on Munchee, Inc. [read post]
15 Oct 2019, 3:00 am
Securities and Exchange Commission (SEC) in 2018 were, in general, similar in number and content to disclosures filed in the prior 2 years. [read post]
11 Oct 2019, 4:54 pm
In summer 2019, Facebook was hit by a US$5 billion fine from the US Federal Trade Commission (FTC), as well as a US$100m fine from the Securities and Exchanges Commission over its involvement in the Cambridge Analytica data scandal. [read post]
11 Oct 2019, 3:00 am
Collins resigned his seat and agreed to plead guilty to conspiracy to commit securities fraud and lying to federal investigators. [read post]
10 Oct 2019, 12:42 pm
If you’re one of the many lawyers who don’t know where to begin their cybersecurity efforts — start here. [read post]
9 Oct 2019, 7:34 am
In fact, The Times’ analysis shows that the Securities and Exchange Commission (SEC) brought 50% more Ponzi prosecutions in the 10 years following Madoff’s arrest than in the 10 years before. [read post]
9 Oct 2019, 6:43 am
For example, some financial professionals may improperly recommend that a customer switch or trade variable annuities in order to generate a commission. [read post]
4 Oct 2019, 6:00 am
Securities and Exchange Commission, on Friday, September 27, 2019 Tags: Broker-dealers, Disclosure, Exchange-traded funds, OTC derivatives, SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities regulation Analysis of IAC Recommendations to Improve U.S. [read post]
4 Oct 2019, 3:53 am
Overseas markets don’t keep American hours, and as long as you set up all those illegal trades before the sun comes up the Securities and Exchange Commission will never come knocking. [read post]
4 Oct 2019, 3:00 am
The Foreign Corrupt Practices Act prohibits American companies and overseas firms with stocks trading on U.S. exchanges from paying bribes to foreign officials. [read post]
1 Oct 2019, 7:02 am
§§ 77s-77u (Securities and Exchange Commission); 47 U.S.C. [read post]
1 Oct 2019, 6:21 am
’s uninsured medical expenses; (3). maintain a life insurance policy securing his life with a net death benefit of $1,000,000.00 to T.S. as named beneficiary; (4). pay Wife a total of sixty (60) payments of $1,500.00 per month in alimony; (5). pay Wife’s health insurance premium for the same five years duration; and, (6). maintain a life insurance policy on his life with a net benefit of $1,500,000.00 with Wife as named beneficiary. [read post]
27 Sep 2019, 4:49 pm
In the United States, Facebook has been hit by a $5 billion fine from the Federal Trade Commission and a $100 million fine from the Securities and Exchanges Commission over Cambridge Analytica data abuses. [read post]
26 Sep 2019, 9:05 pm
Governor Newsom called the bill a first step toward creating “lasting economic security for our workforce. [read post]
