Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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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]
22 Jan 2024, 9:01 pm
Alan’s legacy and work at the Commission staff still resonates on the securities industry and market participants today. [read post]
19 Jan 2024, 11:08 am
On December 12, 2023, the Department of Justice (“DOJ”) issued guidance related to the process by which companies may request the United States Attorney General authorize delays of cyber incident disclosures, pursuant to a new Securities and Exchange Commission (“SEC”) rule. [read post]
18 Jan 2024, 11:13 am
On January 10, 2024, the Securities and Exchange Commission (SEC) announced that global software company SAP had agreed to pay $100M for violations of the Foreign Corrupt Practices Act (FCPA). [read post]
18 Jan 2024, 10:42 am
In December, the United Nations held the tenth session of the Conference of the States Parties (CoSP10) to the United Nations Convention against Corruption (UNCAC) in Atlanta. [read post]
16 Jan 2024, 9:05 pm
Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission. [read post]
11 Jan 2024, 2:19 pm
“Whistleblowers should consider filing claims under the anonymous and confidential whistleblower programs operated by the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and FinCEN. [read post]
10 Jan 2024, 9:02 pm
Securities and Exchange Commission (SEC) approval. [read post]
10 Jan 2024, 2:12 pm
” Not alone, but lonelier then than now before the advent of decisions such as Securities and Exchange Commission v. [read post]
