Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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23 Feb 2024, 4:00 am
However, mutual funds that concentrate investments in a particular sector, industry, business, state, or country other than the United States remain subject to the rules. [read post]
20 Feb 2024, 11:40 am
Securities and Exchange Commission (“SEC”) and the European Commission in the European Union (“EU”), are grappling with the environmental impacts generated by companies. [read post]
17 Feb 2024, 3:02 pm
The agency is led by the Commissioner of Food and Drugs, who is appointed by the President of the United States. [read post]
15 Feb 2024, 9:08 pm
AUSTRAC also co-hosted a Pacific Financial Intelligence Community meeting and provided the Cook Islands Financial Intelligence Unit with a new TAIPAN data analytics system. [read post]
15 Feb 2024, 4:47 am
The United States has publicly stated it opposed the draft resolution. [read post]
14 Feb 2024, 5:43 am
According to the NPRM’s fact sheet, the U.S. investment adviser industry “provides an important service to investors in the United States and across the world in driving investment opportunities and supporting innovation, growth, and prosperity in the United States. [read post]
13 Feb 2024, 3:52 pm
The Fines are in Connection with Financial Advisors Using Text Messaging and Other Forms of Direct Communication, like WhatsApp to Communicate with Clients On February 9, 2024, the United States Securities and Exchange Commission (“SEC”) fined sixteen firms a total of $81 million for “widespread and longstanding failures” by firms and their employees “to [...] [read post]
13 Feb 2024, 9:09 am
Principal place of business and, if that address is not in the United States, the primary location of the company in the United States. [read post]
13 Feb 2024, 8:44 am
A foreign reporting company is an entity formed in another country that has registered to do business in the United States by filing a document with a secretary of state or comparable state or tribal official. [read post]
8 Feb 2024, 9:01 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
8 Feb 2024, 9:09 am
On Tuesday, February 6, 2024, the United States Securities and Exchange Commission promulgated final rules relating to changing the definition of dealer pursuant to the Securities Exchange Act of 1934. [read post]
7 Feb 2024, 5:34 am
According to the Securities and Exchange Commission (SEC)’s Press Release, J P Morgan will pay an SEC settlement for silencing potential whistleblowers. [read post]
6 Feb 2024, 6:58 am
For example, both the Securities and Exchange Commission and the Internal Revenue Service have programs where whistleblowers may recover significant awards based on the success of the government’s enforcement activity. [read post]
5 Feb 2024, 10:06 am
State Parkway Condo. [read post]
30 Jan 2024, 9:02 pm
”[5] Finally, the Commission’s mandatory language states that “[i]f Defendant breaches this agreement, the Commission may petition the Court to vacate the Final Judgment and restore this action to its active docket. [read post]
30 Jan 2024, 4:52 am
The United Kingdom, in coordination with the United States, has imposed fresh sanctions on senior Iranian officials who are members of the Islamic Revolutionary Guard Corps (IRGC), in a bid to tackle what it says is a threat to U.K. domestic security. [read post]
25 Jan 2024, 4:51 am
RESPONSE All but two Senate Democrats are supporting a measure advocating the creation of a Palestinian state as part of a national security package that would also include military aid to Israel. [read post]
24 Jan 2024, 9:01 pm
For instance, the Commission dismisses the only timelines that are relevant to SPACs: the duration limits imposed by exchange listing rules. [read post]
24 Jan 2024, 7:51 am
Whistleblowing in the Securities Industry Whistleblowers have played an important role in the Securities and Exchange Commission’s (SEC) efforts to combat securities law violations. [read post]
22 Jan 2024, 9:05 pm
SEC, 463 U.S. 646 (1983). [4] United States v. [read post]
