Search for: "US Trade and Exchange, LLC"
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27 Dec 2013, 6:36 am
And let’s use this opportunity to check in on the SEC’s new Dodd-Frank whistleblower program. [read post]
8 Apr 2021, 9:04 am
The Company is deeply committed to data privacy and to the ethical use of its technology. [read post]
6 Nov 2014, 10:59 am
Food Lion, LLC, 14-110, was pushed back a week. [read post]
3 Oct 2023, 9:01 pm
According to the SEC, shortly before a securities offering, the Company issued two press releases saying that a screening test that it had developed could be used by consumers to detect COVID-19. [read post]
12 Mar 2018, 12:42 am
Securities and Exchange Commission (“SEC”) issued further interpretive guidance to assist public companies in preparing disclosures about cybersecurity risks and incidents (the “2018 SEC Guidance”). [read post]
20 Oct 2020, 2:22 pm
The definition of malware, however, is actually broader and a bit of a misnomer, and can mean any program or file used by attackers to infiltrate a computer system. [read post]
3 Nov 2013, 6:15 am
Georgia–Pacific LLC, 2013 WL 2435565 (N.Y. [read post]
23 Oct 2012, 9:46 am
Cir. 2005) (hat tip Bill Shea)- fair use (copyright). [read post]
27 Jan 2017, 8:33 am
The article looked at commercial contracts by publicly traded companies that were reported to the Security Exchange Commission using Form 8-Ks. [read post]
3 Mar 2015, 5:30 am
A limited liability company (LLC), including a low-profit limited liability company (L3C), would be owned by the two parties but could be structured so that liabilities of the LLC would not normally ascend to the owners. [read post]
7 Aug 2023, 12:43 pm
A large percentage of these losses are from brokers borrowing funds, only to use the funds for other purposes, leaving elder folk defrauded. [read post]
5 Jun 2012, 8:14 am
Commodity Futures Trading Commission (CFTC), and the Federal Trade Commission (FTC) Southeast Region. [read post]
5 Jun 2012, 8:14 am
Commodity Futures Trading Commission (CFTC), and the Federal Trade Commission (FTC) Southeast Region. [read post]
16 Feb 2016, 4:50 pm
Background The Carlyle Group is the trade name of a global private equity firm. [read post]
29 Jul 2007, 8:14 pm
" Then again, I'm not an editor by trade. [read post]
17 Aug 2018, 7:45 am
Yesterday's CapStack Nashville 3 LLC et al. v. [read post]
13 May 2013, 1:00 pm
Of further note, in two recent no-action letters issued by the SEC related to online angel investment platforms, the SEC’s Division of Trading and Markets issued no-action letters to FundersClub Inc. and AngelList LLC who were seeking confirmation that their online activities would not result in enforcement action by the SEC. [read post]
31 Jan 2024, 8:17 am
” A similar flaw was at the heart of a December 2023 OFAC settlement with CoinList Markets LLC, a virtual currency-exchange based in California (CLM).[3] CLM agreed to pay $1.2 million to settle its potential civil liability arising from transactions processed on behalf of users in Crimea, a provision of services that has been prohibited since 2014. [read post]
11 Jun 2018, 2:44 am
Warehousing, trading and handling cryptocurrency allows for the exercise of “learning by doing,” always a preference for legal experts; and Lawyers can take advantage of the chance to demonstrate tangible support for a client’s enterprise. [read post]
27 Mar 2023, 8:09 pm
September 2019 – The Financial Industry Regulatory Authority Inc. reportedly censured Newbridge Securities and fined the firm $225,000 for having failed to adequately supervise the sale of complex securities such as structured notes and leveraged, inverse and inverse-leveraged exchange-traded funds. [read post]
