Search for: "In Re Securities and Exchange Commission"
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25 Apr 2016, 1:40 pm
The Washington Post reports that “Kurdish troops and Iraqi Shiite forces exchanged mortar and machine-gun fire Sunday in a flare-up that killed at least 12 people and raised concerns about the state’s ability to control an array of armed militia groups as areas are freed from the Islamic State. [read post]
15 Jul 2013, 12:44 am
I'm taking the liberty of re-posting it below. [read post]
18 Sep 2017, 9:53 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.FINRA Firms & Brokers, Fined & SanctionedSpartan Securities Group, Ltd.Without admitting or denying the allegations, the firm consented to the sanctions and to the entry of findings that it failed to establish and implement an appropriate anti-money laundering (AML) program related to its business of accepting… [read post]
2 Feb 2024, 3:00 am
Cori Bush for allegedly misusing money intended for members of Congress to spend on private security. [read post]
5 Jun 2024, 5:42 am
(Editor’s note: This article is part of Just Security’s Symposium, International Law in the Face of Russia’s Aggression in Ukraine: The View from Lviv.) [read post]
21 Sep 2023, 9:01 pm
Hess highlighted use cases for decentralized finance such as performing innovative anti-money laundering verifications and evaluating potential adaptations of current Securities and Exchange Commission and Commodity Futures Trading Commission rules. [read post]
4 Mar 2021, 9:30 am
“If a fintech company uses a white-label bank to process their business, they’re basically a bank. [read post]
26 Jun 2015, 12:00 pm
Securities and Exchange Commission 14-471Issue: Whether a defendant in a Securities and Exchange Commission civil enforcement action can be ordered to disgorge profits that he or she never received, possessed, or controlled, but that instead accrued directly to innocent third parties. [read post]
24 Feb 2020, 9:59 am
Friday, February 28, 2020, at 8:00 a.m.: Duke Law’s Center on Law, Ethics and National Security will hold its 25th Annual National Security Law Conference on Feb. 28-29. [read post]
3 Aug 2011, 5:00 am
On April 29, 2011, the OCC, Board, FDIC, Commission, FHFA and HUD published a joint notice of proposed rulemaking for public comment to implement the credit risk retention requirements of section 15G of the Securities Exchange Act of 1934 (15 U.S.C. [read post]
18 Nov 2022, 6:30 am
Securities and Exchange Commission, on Wednesday, November 16, 2022 Tags: Corporate fraud, ESG, Esg governance, ESG Performance, Investment Advisers Act, SEC enforcement Representations & Warranties, Fraud, and Risk Shifting: An Analytical Framework Posted by Steven L. [read post]
17 Dec 2014, 8:07 am
A similarly popular bill, the Email Privacy Act (H.R. 1852) to update ECPA, gained 272 co-sponsors this year but was never awarded floor time because one federal agency, the Securities and Exchange Commission, worked to keep the bill from coming to fruition. [read post]
31 Oct 2011, 9:38 am
Here’s a summary from Sara Randazzo of Am Law Daily: A former Nixon Peabody partner caught up in a Securities and Exchange Commission investigation of a former client’s alleged securities fraud sued the firm this week, claiming Nixon made him a scapegoat in the matter and took most of his $1.5 million book of business out from under him. [read post]
18 Nov 2022, 6:30 am
Securities and Exchange Commission, on Wednesday, November 16, 2022 Tags: Corporate fraud, ESG, Esg governance, ESG Performance, Investment Advisers Act, SEC enforcement Representations & Warranties, Fraud, and Risk Shifting: An Analytical Framework Posted by Steven L. [read post]
7 Jun 2013, 5:43 am
Among them: The Securities and Exchange Commission should be beefed up, hedge funds need to be registered and brokerages should have independent custodians. [read post]
5 Sep 2011, 10:50 am
If this is the case, you will need to wait 30 days before re-taking the exam. [read post]
22 Sep 2010, 7:36 am
The background: The Securities and Exchange Commission sued Mark Cuban in late 2008, alleging that he sold his 6.3% stake in a web-search company after learning — confidentially, from the company’s CEO — that it was planning to make a private placement of shares at a discount. [read post]
3 Oct 2024, 7:20 am
Securities and Exchange Commission (SEC), and ERAs, who report certain information without SEC registration, now fall under the “financial institution” category defined by the BSA. [read post]
18 Feb 2020, 12:34 pm
We are happy to work with qualified candidates to help secure outside funding by writing letters of support. [read post]
8 Jul 2009, 3:26 pm
Secret Service, National Security Agency, Federal Trade Commission, Department of Defense and the State Department, as well as sites for the New York Stock Exchange and Nasdaq were hit by denial-of-service attacks over the July 4th holiday weekend. [read post]
