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16 May 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
16 May 2024, 9:43 am
Recent enforcement actions by the Securities and Exchange Commission (SEC) against firms engaged in AI washing underscore the importance of transparency and accuracy in representing AI capabilities. [read post]
15 May 2024, 9:05 pm
These include posting of margin (i.e., reliable collateral) to secure members’ obligations to the clearinghouse. [read post]
15 May 2024, 9:01 pm
Following an investigation by the SEC’s Division of Enforcement, the Commission institutes an administrative proceeding and finds that because of the mutual conflict of interest created by the audit firm’s provision of non-audit services at reduced rates in exchange for being chosen as the company’s auditor, the audit firm and audit partner were not independent within the meaning of Rule 2-01(b) of Regulation S-X. [read post]
13 May 2024, 9:05 pm
The costs can potentially be measured relative to GDP, although we are not familiar with estimates using U.S. data. [read post]
13 May 2024, 9:01 pm
Securities and Exchange Commission (SEC) announced that UK- and Australia-based mining company Rio Tinto had agreed to pay a $15 million civil penalty to resolve alleged violations of the FCPA. [read post]
13 May 2024, 3:42 pm
Securities Securities Fraud Claim Duty to Disclose Pure Omissions Private Action Under Rule 10b–5(b) Section 10(b) of the Securities Exchange Act of 1934 Circuit Split Securities and Exchange Commission (SEC) Rule 10b–5(b) makes it unlawful to omit material facts in connection with buying or selling securities when that omission renders “statements… [read post]
13 May 2024, 8:51 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:50 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:45 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:41 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 6:07 am
SEC, 568 U.S. 442 (2013) (holding that the discovery rule does not apply to the statute of limitations for civil penalty actions brought by the Securities and Exchange Commission under the Investment Advisers Act of 1940); Rotkiske v. [read post]
10 May 2024, 6:45 am
Potential land use plan amendments may also involve updating design features and environmental evaluation processes and incorporating new information and additional environmental analysis. [read post]
10 May 2024, 3:00 am
The Miami Herald has reported the mayor received a $10,000 monthly retainer and was also promised commissions if he helped woo investors, find real estate, and secure financing for Kapoor’s projects in Miami and elsewhere. [read post]
9 May 2024, 10:35 pm
Securities Exchange Commission received when they tried to regulate cryptocurrencies after years of letting the industry grow unchecked. [read post]
9 May 2024, 3:08 pm
On March 18, 2024, the Securities and Exchange Commission (the SEC) announced that it had settled charges against two registered investment advisers (RIAs) related to false and misleading representations about each RIA’s alleged use of artificial intelligence (AI) in effecting financial services, conduct which the SEC coined as “AI Washing. [read post]
9 May 2024, 2:00 pm
Then they realized it was a scam that might play out by there being an exchange of bank info or something to that effect. [read post]
9 May 2024, 9:32 am
After the exchange became heated, defendant shot and killed the driver. [read post]
8 May 2024, 10:30 pm
However, the Commission appear not to be keen on using Article 79 (2) (a) and (b) TFEU, the basis of that directive for the purposes of this initiative. [read post]
8 May 2024, 7:20 pm
The Securities and Exchange Commission (SEC) charged Woods and his firm, Livingston Group Asset Management Company, for securities fraud in August 2021, uncovering a $110 million Ponzi scheme. [read post]
