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7 Nov 2022, 10:18 am
The discussion will feature Tyson Barker, nonresident senior fellow at the Atlantic Council’s Europe Center; Daniel Fried, the former U.S. ambassador to Poland; and Vivian Salama, a national security journalist with the Wall Street Journal. [read post]
30 Oct 2022, 11:31 am
” The October 29, 2022 Wall Street Journal article, entitled in the online edition “Under Biden Administration, Wall Street Watchdog’s Fines Surge,” can be found here. [read post]
27 Oct 2022, 7:47 am
Congress required this new SEC rule in the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). [read post]
5 Oct 2022, 8:00 am
By failing to honor their recordkeeping and books-and-records obligations, the market participants we have charged today have failed to maintain that trust,” said SEC Chair Gary Gensler. [read post]
WNN Exclusive: The SEC Whistleblower Program Enriches the Treasury, Not an Inner Circle of Attorneys
4 Oct 2022, 7:32 am
In August, SEC Chair Gary Gensler noted that the whistleblower program “has greatly aided the Commission’s work to protect investors. [read post]
4 Oct 2022, 4:14 am
The correspondence, released in response to dozens of Freedom of Information Act requests, shows that Gary Stern, general counsel for the National Archives and Records Administration, wrote to former Trump White House lawyers Patrick Philbin, Mike Purpura and Scott Gast on May 6, 2021, alerting them that the letters Trump had exchanged with Kim and the letter he received from his predecessor, President Barack Obama, were missing. [read post]
30 Sep 2022, 4:00 am
Republicans Block Probe of Contributions by Chinese Elites to Trump PAC Through Spa Operator MSN – Sheridan Wall (McClatchy) | Published: 9/27/2022 Campaign finance complaints against an Asian day-spa operator from South Florida who allegedly funneled contributions from Chinese elites, likely including foreign nationals, to a campaign committee backing then-President Trump have been dismissed. [read post]
29 Sep 2022, 6:29 am
Gary M. [read post]
13 Sep 2022, 6:30 am
Sanford Levinson This post was prepared for a roundtable onCan this Constitution be Saved? [read post]
9 Sep 2022, 4:00 am
National/Federal ‘Fat Leonard’ Goes on the Lam Weeks Before Sentencing in Navy Bribery Scandal Portland Press Herald – María Luisa Paúl (Washington Post) | Published: 9/6/2022 The Malaysian defense contractor who pleaded guilty to bribing Navy officials with sex parties, fancy dinners, and alcohol in a corruption scandal has escaped just weeks before his sentencing date. [read post]
7 Sep 2022, 9:01 pm
One of the recent central themes of the Office of the Chief Accountant[1] has been that high-quality audits are foundational to the trust that underlies capital markets.[2] High-quality audits protect investors, instill shareholder confidence in the quality of the financial information, and enable public companies to raise capital efficiently.[3] The investor protection afforded by high-quality audits is as important to U.S. investors in foreign companies that participate in the U.S. capital markets… [read post]
6 Sep 2022, 12:21 pm
(Paul Kiernan, The Wall Street Journal). [read post]
25 Aug 2022, 4:27 am
” Dov Lieber and Laurence Norman report for the Wall Street Journal. [read post]
24 Aug 2022, 9:01 pm
SEC Chair Gary Gensler stated that the climate disclosure proposal would “provide investors with consistent, comparable, and decision-useful information for making their investment decisions, and it would provide consistent and clear reporting obligations for issuers. [read post]
21 Aug 2022, 12:45 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6623/securities-industry-commentator/GUEST BLOG: [In]Securities: Puff! [read post]
19 Aug 2022, 4:00 am
Sinema Took Wall Street Money While Killing Tax on Investors MSN – Brian Slodysko (Associated Press) | Published: 8/14/2022 U.S. [read post]
12 Aug 2022, 6:34 am
” “‘This is one of the first substantive pieces of guidance on Reg BI for the brokerage industry and the fiduciary standard for investment advisers’ under SEC Chairman Gary Gensler, Jim Lundy, a partner and member of the Securities Enforcement & Litigation Practice at Foley & Lardner LLP, said in an email. [read post]
3 Aug 2022, 12:07 pm
The GameStop short squeeze and trading halt in early 2021 fueled debates around Wall Street hedge funds and retail trading. [read post]
26 Jul 2022, 9:01 pm
Good afternoon. [read post]
25 Jul 2022, 6:57 am
Written by David Golden Edited by Gary J. [read post]
