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19 Jan 2024, 7:37 am
His customer alleged in the complaint filed with SEC (Securities and Exchange Commission) that “she invested $30,000.00 in September 2021 and another $5,000.00 in August 2022 with the representative. [read post]
19 Jan 2024, 3:00 am
Florida – City of Miami Moves to Create an Independent Inspector to Investigate Corruption WLRN – Joshua Ceballos | Published: 1/12/2024 The Miami City Commission moved on an agenda item to create a new body to hold the government accountable. [read post]
18 Jan 2024, 9:01 pm
On January 10, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) announced parallel resolutions with SAP, a German software company, to resolve investigations into violations of the Foreign Corrupt Practices Act (FCPA). [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
However, insiders lack the incentive to report the crime, and doing so could risk their financial and physical security. [read post]
18 Jan 2024, 9:33 am
Add JP Morgan Securities to the ever-expanding list of companies the Securities and Exchange Commission (SEC) has gone after for violating the agency’s Whistleblower Protection Rule — SEC Rule 21F-17(a). [read post]
18 Jan 2024, 9:32 am
In response, Poland denied claims that migrants received Polish visas at inflated fees and entered Poland without security checks. [read post]
18 Jan 2024, 7:42 am
On January 12, 2023, a customer filed a complaint alleging “breach of fiduciary duty, negligence, negligent supervision, fraud, breach of contract, violation of Sections 10(b) and 20(a) of the Securities Exchange Act, and Rule 10b-5 of the Securities, and Exchange Commission, violation of the Florida Securities and Investor Protection Act regarding purchase of GWG. [read post]
18 Jan 2024, 6:32 am
Securities and Exchange Commission (the “SEC”) regarding: The timing of new insider trading disclosures required by Item 408(b) and Item 402(x), which will not take effect until proxy statements for 2025 annual meetings; Clarifications of the “10 calendar day” period in Rule 14a-6 for determining when a definitive proxy statement can be mailed, the legend requirement under Rule 14a-12 requiring specific reference to participants in a solicitation,… [read post]
18 Jan 2024, 6:32 am
Securities and Exchange Commission (the “SEC”) regarding: The timing of new insider trading disclosures required by Item 408(b) and Item 402(x), which will not take effect until proxy statements for 2025 annual meetings; Clarifications of the “10 calendar day” period in Rule 14a-6 for determining when a definitive proxy statement can be mailed, the legend requirement under Rule 14a-12 requiring specific reference to participants in a solicitation,… [read post]
17 Jan 2024, 5:37 pm
According to a filing with the Securities and Exchange Commission (“SEC”) by Lodging Fund III, the non-traded REIT has a diversified portfolio that includes “limited service, select service, and extended stay hospitality properties” in the geographic area stretching from the Rockies to the Appalachian Mountains and from Texas to North Dakota. [read post]
17 Jan 2024, 8:57 am
On 17 January 2024, the Basel Committee on Banking Supervision (Basel Committee) and the International Organization of Securities Commissions (IOSCO) published a report on streamlining variation margin processes and the responsiveness of initial margin models in non-centrally cleared markets. [read post]
16 Jan 2024, 9:05 pm
Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission. [read post]
16 Jan 2024, 2:47 pm
Securities and Exchange Commission (SEC) announced an enforcement action against J.P. [read post]
16 Jan 2024, 1:19 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
16 Jan 2024, 12:39 pm
On January 11, 2024, the Securities and Exchange Commission approved a rule change to its Codes of Arbitration Procedure and Mediation Procedure — proposed by FINRA — to bar individuals who are not attorneys from representing parties in the FINRA Dispute Resolution forum. [read post]
16 Jan 2024, 12:04 pm
It was a relatively quiet year for the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) in their payout of whistleblower awards under their respective whistleblower programs. [read post]
16 Jan 2024, 11:38 am
SEC Approval of Bitcoin ETFs First Step of ‘Technological Revolution’ in Finance Last week the Securities and Exchange Commission approved 11 applications to establish exchange-traded funds that track the current price of Bitcoin. [read post]
16 Jan 2024, 9:08 am
Securities and Exchange Commission (SEC). [read post]
16 Jan 2024, 8:05 am
Securities and Exchange Commission (SEC). [read post]
