Search for: "In Re Securities and Exchange Commission"
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20 Mar 2018, 1:16 pm
The California Data Breach Notification Law, for example, requires firms doing business in California involving user data to notify users in the event of a “breach of the security of the system. [read post]
26 Aug 2022, 10:56 am
The Responsible Financial Innovation Act, offered in June by Senators Cynthia Lummis (Republican from Wyoming) and Kirsten Gillibrand (Democrat from New York), would, in Lummis’ words, classify a “majority” of cryptocurrencies as securities subject to regulation by the Securities and Exchange Commission (SEC). [read post]
15 Aug 2010, 6:52 am
In 2007, I'd quoted from their 10-K (which is an annual report filed with the Securities and Exchange Commission) which informed us that: the company has a "significant level of indebtedness that could adversely affect our financial position," mostly spent to buy competing private prison companies. [read post]
17 Dec 2018, 3:14 pm
Securities and Exchange Commission. [read post]
27 Apr 2021, 7:30 am
//hdl.loc.gov/loc.pnp/hec.28258 Hired by the Securities and Exchange Commission in 1935 and living in the nation’s capital, he had to love the future Mrs. [read post]
21 Feb 2023, 8:24 am
Chase P.A. where he works on securities and regulatory matters and helps investors recover losses. [read post]
22 Jan 2016, 1:18 pm
The Journal calls the exchange of funds yet another “flashpoint” in the two rival countries’ relationship, amid a claim by Tehran that the money transfer was a ransom payment. [read post]
6 Feb 2019, 10:59 am
In Other News The China Securities Regulatory Commission (CSRC) announced the publication of draft rules for a “Nasdaq-style start-up board in Shanghai. [read post]
1 Oct 2008, 9:10 pm
Morgan Ward Doran, an attorney at the Securities and Exchange Commission in Los Angeles, was one of the voters who's used his paternity leave in the past week to lobby his members of Congress. [read post]
17 Mar 2023, 12:13 pm
Securities and Exchange Commission from whistleblowers in the UK. [read post]
24 Mar 2009, 2:10 pm
" AIG is currently facing investigations by the New York Attorney General's office, the Federal Bureau of Investigation, the Securities and Exchange Commission, and the British Serious Fraud Office.And that is only in the last six months. [read post]
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]
11 Oct 2019, 4:54 pm
In summer 2019, Facebook was hit by a US$5 billion fine from the US Federal Trade Commission (FTC), as well as a US$100m fine from the Securities and Exchanges Commission over its involvement in the Cambridge Analytica data scandal. [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]
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]
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]
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]
2 Feb 2024, 3:00 am
Cori Bush for allegedly misusing money intended for members of Congress to spend on private security. [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]
