Search for: "In Re Securities and Exchange Commission"
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31 Jan 2023, 5:23 am
Last week, we reported that the Securities and Exchange Commission (SEC) is currently examining the activities of registered investment advisers over whether they’re following applicable guidelines around the custody of customer digital assets. [read post]
4 Sep 2014, 3:19 am
Just six days after our article, Luis Aguilar, a Commissioner of the United States Securities and Exchange Commission (SEC), stated very clearly in a speech entitled “Cyber Risks in the Boardroom,”[ii] that, [B]oards must take seriously their responsibility to ensure that management has implemented effective risk management protocols. [read post]
17 Aug 2021, 10:23 am
But its September 2020 Form 8-K with the Securities and Exchange Commission said that SSNs, bank account information, usernames, and passwords might have been taken. [read post]
15 Aug 2022, 12:29 pm
As our Los Angeles cannabis lawyers understand it, the complaints, filed a few months ago with the state’s Department of Cannabis Control and the federal Securities and Exchange Commission, assert that the executives at Weedmaps has opened to the door to black market marijuana purveyors, giving them a platform where customers can find them, as well as products that exceed safe, legal THC levels. [read post]
6 Apr 2012, 5:02 am
See In re Desano, Initial Decisions Release No. 412 (admin proc. [read post]
29 Apr 2012, 10:15 pm
After the hearing the Securities and Exchange Commission’s (SEC) aversion to regulatory analysis reported here, the Financial Services Committee filed a report on April 25, 2012, recommending (to the Committee of the Whole House), H.R. 2308, to improve the consideration by the Securities and Exchange Commission of the costs and benefits of its regulations and orders, with an amendment (H. [read post]
27 Dec 2019, 8:59 am
DONATE TO EFF Like what you're reading? [read post]
2 Aug 2021, 2:08 pm
Resources For Seniors In addition to FINRA, the Securities And Exchange Commission (SEC) also has a range of resources on its website, starting with their Office of Investor Education and Advocacy. [read post]
11 Mar 2011, 5:00 am
Securities and Exchange Commission is about 400 employees short of what it needs to manage its current workload, according to a consultant’s four- month internal review mandated by the Dodd-Frank Act. [read post]
27 May 2017, 1:56 pm
They're gonna come in and we're gonna know where they came from and who they are. [read post]
20 Apr 2022, 10:39 am
Securities and Exchange Commission sued Mr. [read post]
23 Aug 2006, 7:36 am
The expert used ''methodologies that are broadly criticized in the scholarly literature and repeatedly commits basic logical errors" according to a filing on behalf of Olis by Joseph Grundfest, a Stanford Law School professor and former commissioner of the Securities and Exchange Commission. [read post]
18 Oct 2023, 3:15 am
For example, in the United States, the Consumer Financial Protection Bureau, Department of Justice, Equal Employment Opportunity Commission, Food and Drug Administration, Federal Trade Commission and the Securities and Exchange Commission each has issued guidance or otherwise indicated through enforcement activity that they view AI as within their respective purview of current regulatory and enforcement authority. [read post]
23 Aug 2016, 10:45 am
Yesterday, Amie Stepanovich of Access Now tweeted: If you're writing about gov hacking and only citing men-- PSA: @evacide, @granick, @Riana_Crypto, @Susan_Hennessey all worth talking to. [read post]
15 Sep 2015, 2:39 pm
There are multiple avenues you can take to put you on the road to a steady, secure job. [read post]
2 Feb 2012, 7:48 am
The breaches were disclosed in vague language in a Securities and Exchange Commission filing last October in accordance with new SEC guidelines requiring companies to report intrusions to investors, according to Reuters. [read post]
29 Mar 2010, 5:22 am
In July 2009, the company was charged with securities fraud by the Securities and Exchange Commission (SEC). [read post]
25 Apr 2013, 1:24 pm
., the auditor’s obligation under Section 10A of the Securities Exchange Act of 1934 to report a client’s illegal acts. [read post]
15 Apr 2016, 6:00 am
Securities and Exchange Commission, on Thursday, April 14, 2016 Tags: Disclosure, Dodd-Frank Act, Filings, Financial Regulation, Financial reporting, Information asymmetries, Investor protection, JOBS Act, Materiality, Regulation S-K, SEC, SEC rulemaking, Securities Regulation, Swaps, Swaps entities,Transparency [read post]
18 Jan 2016, 3:18 pm
However, regulators outside of healthcare –such as the Department of Homeland Security, the Securities and Exchange Commission and the Federal Communications Commission — also try to extend their foothold into the healthcare compliance realm, much in a way that the Federal Trade Commission has. [read post]
