Search for: "Securities and Exchange Commission"
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9 Aug 2007, 9:30 am
Moments ago, we received a trusty securities alert from Securities Mosaic announcing that Roel C. [read post]
24 Jan 2011, 8:40 am
The Securities and Exchange Commission, as required by the Dodd-Frank financial reform law issued a report to Congress on Friday advocating that any investment professional, stockbrokers and investment advisors providing personalized investment advice to retail customers would have to adhere to a fiduciary standard, including the duty of loyalty, and the duty of care, in connection with the recommendation of investments and investment services. [read post]
10 Jul 2023, 9:22 am
In the midst of issuing the final opinions of the term, the Court also granted certiorari on a number of cases, one of which—Securities and Exchange Commission v. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
16 Feb 2023, 8:45 am
The post Lawfirm opposes Security and Exchange Commission subpoena for firm’s client data for SEC’s investigation of Cyber Attack on the firm appeared first on Jeff Newman Law. [read post]
16 Feb 2023, 8:45 am
The post Lawfirm opposes Security and Exchange Commission subpoena for firm’s client data for SEC’s investigation of Cyber Attack on the firm appeared first on Newman & Shapiro. [read post]
8 Nov 2021, 1:38 pm
The Securities and Exchange Commission today charged United States Oil Fund LP, an exchange-traded product (ETP), and its general partner United States Commodity Funds LLC for misleading statements about limitations imposed by its sole futures commission…Read the Full Press ReleaseHave a securities law question? [read post]
30 Mar 2022, 12:56 pm
From Bloomberg News: The proposed language would require companies to disclose to the Securities and Exchange Commission any analyses they use to measure the resilience of their business strategies... [[ This is a content summary only. [read post]
14 Dec 2009, 12:57 am
To the Securities and Exchange Commission: Last week Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
9 Nov 2017, 6:15 am
Securities and Exchange Commission. [read post]
15 Jun 2011, 5:00 pm
The Court held that a mutual fund investment adviser could not be held liable in a private action under Securities and Exchange Commission (SEC) Rule 10b–5 for false statements included in its client mutual funds’ prospectuses. [read post]
15 Aug 2022, 7:53 am
The post AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors appeared first on Experienced Investor Advocates. [read post]
15 Aug 2022, 7:53 am
The post AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors appeared first on Experienced Investor Advocates. [read post]
15 Aug 2022, 7:53 am
The post AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors appeared first on Experienced Investor Advocates. [read post]
29 Sep 2016, 5:28 am
SEC Release No. 34-78962 has been issued and states in part the following: The Securities and Exchange Commission (“Commission”) proposes to amend Rule 15c6-1(a) under the Securities Exchange Act of 1934 (“Exchange Act”) to shorten the standard settlement cycle for... [read post]
