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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]
8 Apr 2022, 8:55 pm
Securities and Exchange Commission. [read post]
26 Jun 2020, 11:08 am
With these extra security and safety checks in place, utilizing an online notary for your documents is as easy and safe as it was prior to social distancing measures were put in place. [read post]
27 Sep 2013, 12:27 pm
” She stated that the Commission’s January 2006 Corporate Penalties Statement provides a useful list of factors that the Enforcement staff and Commission will consider in deciding whether to impose corporate penalties and in what amount, but then pointedly added that the Statement “was not then, and is not now, binding policy for the Commission or the staff” and that “[t]oday, we have an entirely new Commission. [read post]
6 Jun 2019, 9:55 am
(credit: Alex Flynn/Bloomberg via Getty Images) The Securities and Exchange Commission has filed a lawsuit against social media company Kik over its creation and sale of a cryptocurrency called Kin back in 2017. [read post]
8 Mar 2021, 11:30 am
Securities and Exchange Commission’s (SEC) Division of Examinations released its 2021 examination priorities. [read post]
2 Sep 2021, 8:42 am
The Securities and Exchange Commission (“SEC”) recently issued a request for information and public comment on the use of new and emerging technologies by investment advisers and broker-dealers that suggests potential regulatory action to come.[1] According to its release, the SEC is seeking to understand how registrants — whether online brokerages, robo-advisers, internet investment advisers, or more traditionally-operated firms — use various digital… [read post]
13 Mar 2021, 6:35 am
Securities and Exchange Commission. [read post]
20 May 2019, 2:38 am
On 16 May 2019, ESMA published a speech from Verena Ross, ESMA Executive Director, on transitions and challenges for European securities markets and their regulators. [read post]
19 Oct 2010, 3:52 am
Martin unfit for such employment following a post-appointment investigation where “undisputed evidence” showed that Martin had falsified his employment application “to conceal his using a social security number not his own to obtain a second New York State drivers’ license after his first license had been revoked. [read post]
23 Nov 2018, 6:07 am
Securities and Exchange Commission, on Friday, November 16, 2018 Tags: Disclosure, Fund managers, Glass Lewis, Index funds, Institutional Investors, ISS, Proxy advisors, Proxy voting, SEC, Securities regulation, Shareholder proposals, Shareholder voting The Perils of Dell’s Low-Voting Stock Posted by Lucian A. [read post]
30 Nov 2010, 6:44 pm
She also discussed the legal challenges to Google's use of gmail information to launch its Buzz social network, and the Federal Trade Commission's settlement with Twitter pertaining to security vulnerabilities in Twitter accounts. [read post]
10 Oct 2019, 10:19 am
Military Humanitarian Assistance and Disaster Relief Xenia Chiaramonte, Social Movements and the Legal Field: Becoming-Constituent Andreas Witte, The International Regulation and Governance of Time [read post]
25 Oct 2013, 2:25 pm
SEC Proposal Brings Crowdfunded Securities Closer to Reality The expanded use of crowdfunding as a capital raising tool by start-ups and small businesses is closer to reality with proposed rules the Securities and Exchange Commission approved and put out for public comment. [read post]
7 Apr 2017, 5:51 am
Securities and Exchange Commission and is back at Debevoise & Plimpton, her husband -- who was the firm's lone nonequity partner for four years -- will return to the firm's equity partnership, where he can enjoy all of the rain he makes. [read post]
17 Jul 2018, 3:47 pm
Federal Trade Commission. [read post]
2 Aug 2022, 11:04 am
Securities and Exchange Commission (“SEC”) and U.S. [read post]
29 May 2007, 6:21 pm
In many cases, he is not allowed to use the Internet or search Google in order to protect applicant privacy and security. [read post]
31 Oct 2019, 7:15 am
Refusing to accept a Social Security card and demanding a birth certificate from a job applicant because the applicant has an accent. [read post]
29 Mar 2009, 3:15 pm
—The individuals appointed from private life as members of the Commission shall be individuals who are nationally recognized for expertise, knowledge, or experience in such relevant areas as— (A) law enforcement; (B) criminal justice; [C]; national security; (D) prison administration; (E) prisoner reentry; (F) public health, including drug addiction and mental health; (G) victims’ rights; and (H) social services What are we? [read post]
