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10 Dec 2023, 9:01 pm by renholding
Many, even most, investors wouldn’t immediately buy the final desired equity portfolio. [read post]
8 Dec 2023, 3:00 am by Jim Sedor
While the Federal Election Campaign Act does not address the use of deceptive AI explicitly, federal campaign finance law does prohibit politicians and those working for them from posing as another campaign. [read post]
  For example, on 6 October 2017, the Hong Kong Monetary Authority (HKMA), published a revised version of its Supervisory Policy Manual module CG-1 “Corporate Governance of Locally Incorporated Authorized Institutions” (SPM CG-1). [read post]
5 Dec 2023, 9:05 pm by renholding
Pirani,[1] many have predicted that Section 11 of the Securities Act of 1933 will decline into a state of near irrelevance. [read post]
30 Nov 2023, 9:01 pm by renholding
In order to provide clarity to investors, the registrant should include a footnote disclosing the index chosen. [read post]
24 Nov 2023, 12:07 pm by Richard West
This means that the debtor is no longer personally responsible for those debts and can have a fresh financial start.Chapter 7 bankruptcy does have its drawbacks. [read post]
20 Nov 2023, 9:01 pm by renholding
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor that… [read post]
20 Nov 2023, 6:01 pm by Mark Ashton
On November 10, Moody’s lowered its rating of US debt from stable to negative. [read post]
16 Nov 2023, 8:19 pm by Gene Takagi
Native Communities Perspective: When focusing on survival, we’re missing conversations about: (1) what does thriving look like and (2) how do we live our values. [read post]
13 Nov 2023, 9:05 pm by renholding
”[10] She noted, however, that SIFI designation is “only one of the Council’s tools and is not being prioritized over other approaches to addressing financial stability risks. [read post]
13 Nov 2023, 5:40 pm by Michael Lowe
As used in section 1128B of the Act, “remuneration” does not include any payment that is a return on an investment interest, such as a dividend or interest income, made to an investor as long as all of the applicable standards are met within one of the following three categories of entities (details here). [read post]
10 Nov 2023, 8:25 am by Silver Law Group
On 10/14/2022 and 11/1/2022, FINRA sent requests for information to Silva regarding the investigation into the Form U5 allegations. [read post]
9 Nov 2023, 9:01 pm by renholding
These areas are: (1) the scope of the definition of a dealer under the Securities Exchange Act of 1934; (2) cryptocurrencies; and (3) off-channel communications by broker-dealers. [read post]