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2 May 2024, 2:14 pm
When Murray refused and reported the leaders, his supervisor recommended he either be transferred to a role that didn’t have Securities and Exchange Commission certification responsibilities or discharged from UBS entirely. [read post]
2 May 2024, 12:52 pm
Securities and Exchange Commission (SEC) issued a $2.5 million whistleblower award to a whistleblower who voluntarily disclosed original information which led to a successful enforcement action. [read post]
2 May 2024, 12:35 pm
FINRA, the self-regulator that oversees brokers and brokerage firms and the SEC (Securities and Exchange Commission) may impose sanctions such as censures, fines, suspensions and restitution, among others. [read post]
2 May 2024, 8:34 am
Securities and Exchange Commission (SEC) issued a $2.5 million whistleblower award to an individual who voluntarily disclosed original information which led to a successful enforcement action. [read post]
2 May 2024, 8:08 am
Securities and Exchange Commission 23-741Issue: Whether the cross-appeal rule, which prohibits the granting of a remedy in favor of an appellee absent the filing of a cross-appeal, is jurisdictional or otherwise mandatory, or instead admits of any exception, including, among other things, for remands or changes in substantive law. [read post]
2 May 2024, 6:05 am
Serbia is a fully recognized State with representation in all leading intergovernmental bodies, from the United Nations to the Organization for Security and Cooperation in Europe to INTERPOL. [read post]
2 May 2024, 12:15 am
” In February of this year, the Securities and Exchange Commission adopted a new rule, Rule 3a5-4, to define the phrase "as a part of a regular business" for purposes of Section 3(a)(5)(B). [read post]
1 May 2024, 10:16 pm
FINRA, the self-regulator that oversees brokers and brokerage firms and the SEC (Securities and Exchange Commission) may impose sanctions such as censures, fines, suspensions and restitution, among others. [read post]
1 May 2024, 9:05 pm
In the meantime, we must hope for the European Securities and Markets Authority (ESMA) to give further guidance. [read post]
1 May 2024, 7:59 am
Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) and Internal Revenue Service (IRS). [read post]
1 May 2024, 6:30 am
The US Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) have overhauled Form PF and private fund managers have until March 12, 2025, to begin reporting on the new Form. [read post]
1 May 2024, 6:30 am
The US Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) have overhauled Form PF and private fund managers have until March 12, 2025, to begin reporting on the new Form. [read post]
30 Apr 2024, 12:31 pm
Securities and Exchange Commission. [read post]
30 Apr 2024, 8:53 am
In the first few months of 2024, the Securities and Exchange Commission (“SEC”) launched multiple major offensives against a broad array of cryptocurrency companies. [read post]
30 Apr 2024, 6:08 am
Once the Federal Elections Commission sent him a letter, Pecker recalled telling Cohen that he was “very worried. [read post]
30 Apr 2024, 5:41 am
The Securities and Exchange Commission also published an investor alert bulletin on structured notes in 2015 warning investors of the risks of investing in these complex products. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
29 Apr 2024, 10:00 pm
The Securities and Exchange Commission (SEC) is continuing its focus on disclosure of executive perquisites—and aircraft usage in particular—in registration statements, periodic reports, and proxy statements. [read post]
