Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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27 Dec 2023, 1:16 pm
In July 2023, the Securities and Exchange Commission (“SEC”) proposed rules “that would require broker-dealers and investment advisers (“Firm”) to take certain measures to address conflicts of interest associated with their use of predicative data analytics and similar technologies to interact with investors to prevent firms form placing their interest ahead of investors’ interests. [read post]
22 Dec 2023, 4:31 am
Deputy Russian Foreign Minister Sergei Ryabkov told Interfax news agency: “The issue of exchanges of citizens serving prison terms in Russia and the United St [read post]
22 Dec 2023, 3:00 am
But the election integrity units obtained only 47 convictions during a period in which tens of millions of votes were cast, and the units overwhelmingly targeted minorities and Democrats for prosecution, according to an analysis by The Washington Post. [read post]
21 Dec 2023, 5:18 am
Security Council worked separately on a revised draft resolution that they hoped would pass muster with the United States. [read post]
20 Dec 2023, 3:00 am
IT IS ORDERED and ADJUDGED that the decision of the United States Securities and Exchange Commission is VACATED. [read post]
19 Dec 2023, 10:07 am
These measures are similar to the highly successful Securities and Exchange Commission Whistleblower program, which has recovered over $6.3 billion from wrongdoers and paid over $1.3 billion in whistleblower awards since its start in 2011. [read post]
19 Dec 2023, 6:12 am
Here, the Commission majority stated that they disagreed with Coinbase that existing federal securities laws are insufficient to address many of the legal and regulatory issues that may arise from a firm’s crypto activities. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
18 Dec 2023, 5:19 am
The Case at a Glance In a notable case wherein the SEC (Securities and Exchange Commission) was pitted against Luis Jimenez Carrillo, the complexities of financial settlements in divorce proceedings were brought into sharp focus. [read post]
17 Dec 2023, 9:01 pm
Securities and Exchange Commission. [read post]
15 Dec 2023, 5:32 am
The United States has gathered intelligence about Israel and Hamas’ tactics in Gaza, according to two sources familiar with the intelligence. [read post]
14 Dec 2023, 9:01 pm
”[8] These changes are similar to the United States Securities and Exchange Commission’s new Cybersecurity Disclosure Rule, which requires covered entities to report cybersecurity incidents that occur at their third-party service providers.[9] Consequentially, the Amended Regulation, in effect, imposes additional downstream pressure on third-party service providers who work with covered entities to ensure they notify their customers of… [read post]
14 Dec 2023, 1:31 pm
The Securities and Exchange Commission today charged Florida-based Titanium Capital LLC and its founder Henry Abdo with operating a Ponzi scheme that raised at least $5.3 million from more than 160 retail investors in the United States and abroad. [read post]
14 Dec 2023, 11:05 am
If the investment is a “security”, you have to comply with the Securities and Exchange Commission regulations. [read post]
12 Dec 2023, 11:20 pm
On the same day, the Securities and Exchange Commission (SEC) and seven state regulators made similar charges. [read post]
12 Dec 2023, 9:30 am
As required by law, Nvidia has submitted information to the Securities and Exchange Commission listing its subsidiary companies. [read post]
10 Dec 2023, 9:05 pm
Securities and Exchange Commission’s (SEC) historic cyber incident disclosure rules. [read post]
6 Dec 2023, 10:30 am
And, indeed, as expected, the exchanges were lively. [read post]
6 Dec 2023, 2:35 am
The Hong Kong Stock Exchange (HKEX) has imposed D&I requirements on its members. [read post]
5 Dec 2023, 9:01 pm
Last week the Supreme Court heard oral argument in Securities and Exchange Commission (SEC) v. [read post]
