Search for: "In Re Securities and Exchange Commission"
Results 1001 - 1020
of 2,832
Sort by Relevance
|
Sort by Date
12 Aug 2019, 3:00 am
., a Texas-based real-estate firm, added references to active-shooter scenarios in the “risk factor” section of their latest annual reports, according to an analysis of Securities and Exchange Commission filings. [read post]
9 Aug 2019, 3:00 am
” Proposed FEC Rule Would Further Constrain Foreign Election Contributions National Public Radio – Philip Ewing | Published: 8/1/2019 The FEC proposed new rules to outlaw exchanges like the one that took place when a Russian delegation visited Trump Tower in 2016 to offer Donald Trump’s campaign “dirt” on Democrats. [read post]
6 Aug 2019, 11:00 pm
They express themes of gratitude in poetry and using gratitude journals that they might exchange with friends. [read post]
1 Aug 2019, 9:05 pm
The plaintiffs, however, claimed that Capital One breached its implied contract with its customers and applicants and negligently failed to exercise care in securing their personal information, including by failing to follow data security practices recommended by the Federal Trade Commission. [read post]
1 Aug 2019, 12:08 pm
Where the lender is from a country which has neither a double-tax treaty with the Czech Republic nor a tax information exchange agreement, a 35 per cent withholding tax applies. [read post]
1 Aug 2019, 11:54 am
Securities and Exchange Commission, in the Harvard Law School Forum on Corporate Governance and Financial Regulation, on March 6, 2015. [5]“Artificial Intelligence and the Future of Humans,” Pew Research Center, December 2018. [6] In Re Snap Securities [7] “Guest Post: The State of Securities Litigation After Cyan,” Doug Greene, Jessie Gabriel, Marco Molina, and Brian Song of Baker & Hostetler; The D&O Diary,… [read post]
31 Jul 2019, 7:02 am
Visa reported the settlement in a recent filing with the Securities and Exchange Commission. . . . [read post]
25 Jul 2019, 3:00 am
Here’s an excerpt from the SEC’s press release: The Securities and Exchange Commission today announced charges against Facebook Inc. for making misleading disclosures regarding the risk of misuse of Facebook user data. [read post]
22 Jul 2019, 10:26 am
Trump, the Trump Organization agreed to accept an arrangement whereby the organization received a flat 3.5% commission on all sales, with no licensing fees or incentives. [read post]
22 Jul 2019, 3:00 am
Here’s an excerpt from this GCN article: The Securities and Exchange Commission also issued a sources sought notice for a commercial, off-the-shelf social media monitoring subscription to help it track emerging risk areas and activities of market participants to identify potential securities law violations. [read post]
16 Jul 2019, 10:18 am
The proposals address the application of security-based swap transaction requirements to non-U.S. entities with U.S. personnel involved in “arranging, negotiating or executing the swaps,” and is intended to align the SEC’s regulatory regime with that of the Commodity Futures Trading Commission. [read post]
12 Jul 2019, 8:14 am
Security futures. [read post]
12 Jul 2019, 6:17 am
Securities and Exchange Commission, on Tuesday, July 9, 2019 Tags: Broker-dealers, Compliance & ethics, Conflicts of interest, Fiduciary duties, Investment advisers, Investor protection, Regulation Best Interest, Retail investors, SEC, Securities regulation, Transparency Statement on Retirement of Chief Justice Strine Posted by Jay Clayton, U.S. [read post]
10 Jul 2019, 10:42 am
The user doesn’t control the wallet’s security; the Calibra service does. [read post]
9 Jul 2019, 2:10 pm
The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) (together, the Commissions) have approved a joint proposal to align the minimum margin required on security futures with other similar financial products. [read post]
3 Jul 2019, 3:05 pm
The Securities and Exchange Commission (SEC) announced today that it has proposed to align the minimum margin required on security futures with other similar financial products. [read post]
28 Jun 2019, 3:00 am
Elissa Slotkin’s campaign captures the upcoming fundraising scene in Washington perfectly: “You’re about to be inundated. [read post]
28 Jun 2019, 3:00 am
Securities and Exchange Commission has brought enforcement actions charging insider trading in advance of earnings announcements by senior lawyers at Apple and SeaWorld. [read post]
28 Jun 2019, 3:00 am
Browder, and Jonathan Tincher In 2018, the Securities and Exchange Commission (the “SEC”) continued to pursue a series of enforcement actions against private equity fund sponsors. [read post]
27 Jun 2019, 9:20 am
The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay over $88 million to settle charges for overcharging mutual funds and other registered investment company clients for expenses related to the firm's custody of client assets. [read post]
