Search for: "U. S. Securities and Exchange Commission"
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15 Jul 2021, 2:54 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
13 Jul 2021, 3:00 am
California Coastal Commission, 483 U.S. 825 (1987) and Dolan v. [read post]
9 Jul 2021, 5:51 am
Although the bill is unlikely to become law due to expected opposition in the US Senate, which requires a 60-vote supermajority to pass legislation, the passage of the HR 1187 by the House—combined with President Biden’s focus on climate-related risks in his meeting with financial regulators—should bolster and influence the US Securities and Exchange Commission’s (SEC) ongoing development of new ESG disclosure requirements for US… [read post]
3 Jun 2021, 3:00 am
California water futures began trading on the Chicago Mercantile Exchange in December of 2020 and are now traded daily. [read post]
3 Jun 2021, 3:00 am
California water futures began trading on the Chicago Mercantile Exchange in December of 2020 and are now traded daily. [read post]
4 May 2021, 11:11 am
Securities and Exchange Commission and the Commodity Futures Trading Commission as effective models. [read post]
4 May 2021, 11:11 am
Securities and Exchange Commission and the Commodity Futures Trading Commission as effective models. [read post]
14 Apr 2021, 6:00 am
Securities and Exchange Commission (SEC), in the first two months of President Joseph Biden’s administration, has begun analyzing whether current disclosures by such companies adequately inform investors about the impacts of the changing climate. [read post]
26 Mar 2021, 11:03 am
State regulatory bodies require registration as well as the Financial Industry Regulatory Authority (FINRA), a regulatory arm of the Securities and Exchange Commission (SEC) in charge of, among other things, licensing broker-dealers. [read post]
25 Mar 2021, 1:04 pm
Securities & Exchange Commission investigating Japanese telecom company Softbank Group for possible market manipulation appeared first on Newman & Shapiro. [read post]
Activist Shareholder Proposals and HCM Disclosures Pivot to Diversity, Equity, and Inclusion in 2021
24 Mar 2021, 12:47 pm
Changes in SEC Rules in 2020 In the last year, the Securities Exchange Commission (“SEC”) updated two rules that are anticipated to have an outsized effect on shareholder proposals in the DEI space. [read post]
22 Mar 2021, 1:49 pm
The bill would repeal existing prohibitions on the Securities and Exchange Commission from finalizing rules to afford shareholders the opportunity to know about the political spending of publicly traded companies and would require shareholder authorization before a public company may make certain political expenditures. [read post]
22 Feb 2021, 7:12 am
” What’s the Difference Between Immigrant and Non-Immigrant Status? [read post]
22 Feb 2021, 7:12 am
” What’s the Difference Between Immigrant and Non-Immigrant Status? [read post]
14 Feb 2021, 5:35 am
Securities and Exchange Commission (SEC) failed to properly investigate Bernard Madoff’s multi-billion-dollar Ponzi scheme... [read post]
13 Jan 2021, 3:00 am
Fish & Game Commission (1997) 16 Cal.4th 105; Health First v. [read post]
12 Jan 2021, 6:08 am
Federal Trade Commission involves the FTC’s authority to seek monetary relief when it uses litigation to enforce its power under Section 5 of the Federal Trade Commission Act to prevent “unfair or deceptive acts … affecting commerce. [read post]
4 Jan 2021, 2:02 pm
In exchange, the defendants received cash provided by members of the Uzbekistani immigrant community to an unlicensed money transfer business for remittance to their relatives in Uzbekistan, minus a commission that was deducted by the money launderer. [read post]
22 Dec 2020, 1:32 am
Share Tweet Share Share Tweet Share Share Tweet Share Share Tweet Share Share Tweet Share Share Tweet Share Share Tweet Share Share Tweet ShareThe Securities and Exchange Commission today charged Robinhood Financial LLC for repeated misstatements that failed to disclose the firm’s receipt of payments from trading firms for routing customer orders to them, and with failing to satisfy its duty to…Read the Full Press ReleaseHave a… [read post]
23 Nov 2020, 6:31 am
(“IMVU”) received no-action relief from the Securities and Exchange Commission (the “SEC”) confirming that the Division of Corporate Finance will not recommend enforcement action against IMVU for selling its digital asset, VCOIN. [read post]
