Search for: "Securities and Exchange Commission v. May"
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28 Dec 2023, 9:05 pm
” MAY The U.S. [read post]
27 Dec 2023, 6:09 pm
FINRA, the regulator that oversees brokers and brokerage firms, and the Securities and Exchange Commission may impose regulatory actions against a broker-dealer such as censures, fines, suspensions and restitution, among others. [read post]
21 Dec 2023, 4:24 pm
Readers may recall that I have penned several posts on the subject whether coal is a mineral for purposes of the Securities and Exchange Commission's resource extraction disclosure rules: Is Coal A Mineral And Why Ask? [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
17 Dec 2023, 9:03 pm
The Commission and its staff are currently pursuing numerous undertakings applicable to crypto asset securities and intermediaries, and the Commission’s assessment of whether and, if so, how to alter the existing regulatory regime may be informed by the results of these initiatives. [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]
13 Dec 2023, 4:54 am
” Some U.S. officials have warned that using seawater may endanger Gaza’s water supply. [read post]
10 Dec 2023, 10:30 pm
Matters changed with the Lex CEU case and subsequent ECJ judgment in Commission v Hungary, finding a violation of Article 13 CFR. [read post]
6 Dec 2023, 2:35 am
The Hong Kong Stock Exchange (HKEX) has imposed D&I requirements on its members. [read post]
5 Dec 2023, 9:01 pm
Last week the Supreme Court heard oral argument in Securities and Exchange Commission (SEC) v. [read post]
4 Dec 2023, 8:11 am
For example, in the 2004 case of SEC v. [read post]
1 Dec 2023, 12:30 pm
Former CEO of The Federal Savings Bank is convicted under the financial institution bribery statute for securing millions in loans for former Trump presidential campaign chair Paul Manafort in exchange for a position in the federal government. [read post]
1 Dec 2023, 3:00 am
Later, the documents appeared to have been removed from the court’s public docket, suggesting it may have been posted inadvertently. [read post]
30 Nov 2023, 9:01 pm
On November 21, 2023, the staff of the Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance issued eight new Compliance & Disclosure Interpretations (C&DIs), and revised two previously issued C&DIs, relating to the final pay-versus-performance (PVP) disclosure rules adopted last year. [read post]
30 Nov 2023, 4:28 am
ShareWednesday’s argument in Securities and Exchange Commission v. [read post]
29 Nov 2023, 9:01 pm
Securities and Exchange Commission’s (“SEC” or “Commission”) Division of Enforcement (“Division”) announced its enforcement results for fiscal year (“FY”) 2023.[1] Disgorgement and penalties were the second highest in the SEC’s history at just under $5 billion, while the overall number of actions rose by 3% over FY 2022. [read post]
28 Nov 2023, 10:41 am
Tomorrow the Supreme Court will hear oral argument in a complicated case involving the constitutionality of the Securities and Exchange Commission ("SEC"). [read post]
28 Nov 2023, 8:58 am
Tomorrow the Supreme Court hears oral argument in Securities Exchange Commission v. [read post]
27 Nov 2023, 9:34 am
In exchange, the nursing homes paid ROHM management fees. [read post]
24 Nov 2023, 6:08 pm
From Matthew Wiener: On November 29, 2023, the Supreme Court will hear argument in Securities and Exchange Commission v. [read post]
