Search for: "In Re Securities and Exchange Commission"
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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]
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]
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]
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]
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]
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]
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]
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]
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]
14 Feb 2023, 10:24 am
In addition to local police, The Department of Justice, and Federal Bureau of Investigation, the Securities and Exchange Commission, Internal Revenue Service, U.S. [read post]
16 Jun 2023, 7:41 am
The New Law Protects Whistleblowers And Aids The Treasury The AML was modeled after the Dodd-Frank law that created the highly successful whistleblowing program at the Securities and Exchange Commission (SEC). [read post]
4 Oct 2019, 3:53 am
Overseas markets don’t keep American hours, and as long as you set up all those illegal trades before the sun comes up the Securities and Exchange Commission will never come knocking. [read post]
2 Dec 2010, 10:59 am
Essentially, the Act requires corporations to fully report their finances to the Securities and Exchange Commission. [read post]
29 Aug 2012, 4:05 pm
Melvin, Jr. was sued by the Securities and Exchange Commission for alleged Insider Trading. [read post]
13 Nov 2009, 4:00 am
Securities and Exchange Commission, which have opened their own probes, according to an investor letter obtained by Reuters. [read post]
27 Jul 2016, 4:00 am
The security video shows the entire fight commencing with a blindsided attack on Mr. [read post]
18 Jun 2010, 9:10 am
Id.Parties in interest may object to confirmation, including creditors whose claims are affected by the plan, an organization of employees of the debtor, and other tax payers, as well as the Securities and Exchange Commission. 11 U.S.C. [read post]
