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16 Apr 2024, 8:47 am
They are thus urging the DOJ to model its program after the Dodd-Frank Act’s programs at the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
16 Apr 2024, 7:19 am
The case involves Rule 10b-5 of the Securities and Exchange Commission. [read post]
16 Apr 2024, 5:29 am
Securities and Exchange Commission (SEC) continues to broaden the use of forfeiture of executive compensation as a regulatory tool with an increased emphasis on making employers do the clawing-back themselves.In October 2022, the SEC adopted the new Rule 10D-1, 17 C.F. [read post]
15 Apr 2024, 7:09 pm
Following recent allegations by third-party restructuring company Palladin that the Washington State-based real estate investment firm may have been a Ponzi scam, now there are reports that the Federal Bureau of Investigation (FBI) is conducting a criminal investigation and the US Securities and Exchange Commission (SEC) is performing a regulatory one. [read post]
15 Apr 2024, 6:30 am
The Securities and Exchange Commission (SEC) adopted its long-awaited climate disclosure rules on March 6, 2024. [read post]
15 Apr 2024, 6:30 am
The Securities and Exchange Commission (SEC) adopted its long-awaited climate disclosure rules on March 6, 2024. [read post]
15 Apr 2024, 4:15 am
The opinion, authored by Justice Sotomayor, states: Securities and Exchange Commission (SEC) Rule 10b–5(b) makes it unlawful to omit material facts in connection with buying or selling securities when that omission renders “statements made” misleading. [read post]
14 Apr 2024, 6:59 am
The charges against Cook were advanced by the Serious Fraud Office (SFO) and concerned secret payments in exchange for commissioning work from offshore consultants for the MoD. [read post]
12 Apr 2024, 11:27 am
On March 29, the Securities and Exchange Commission (SEC) published Notices of Covered Actions (NoCAs) for a series of related enforcement actions charging firms with widespread recordkeeping failures. [read post]
12 Apr 2024, 8:45 am
Global 17 April 2024 -On 17 January 2024, the Basel Committee on Banking Supervision and the International Organization of Securities Commissions published a report on streamlining variation margin processes and the responsiveness of initial margin models in non-centrally cleared markets. [read post]
12 Apr 2024, 8:15 am
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. [read post]
12 Apr 2024, 8:11 am
The Securities and Exchange Commission brought actions five investment advisory firms for violations of the Marketing Rule. [read post]
12 Apr 2024, 6:30 am
Securities and Exchange Commission, on Saturday, April 6, 2024 Tags: Climate Disclosure, order, SEC, securities act of 1933, Securities Exchange Act of 1934 2024 Annual Meeting Filing and Disclosure Requirements Posted by Brian V. [read post]
12 Apr 2024, 6:30 am
Securities and Exchange Commission, on Saturday, April 6, 2024 Tags: Climate Disclosure, order, SEC, securities act of 1933, Securities Exchange Act of 1934 2024 Annual Meeting Filing and Disclosure Requirements Posted by Brian V. [read post]
12 Apr 2024, 6:06 am
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. [read post]
12 Apr 2024, 4:38 am
Security Council. [read post]
11 Apr 2024, 4:57 am
Securities and Exchange Commission officials convened at the SEC Speaks Conference in Washington, D.C., to discuss the Commission’s accomplishments in fiscal year 2023 and announce its priorities for 2024. [read post]
10 Apr 2024, 3:10 pm
Securities and Exchange Commission (“SEC”) adopted two new rules with a 3-2 vote along party lines. [read post]
10 Apr 2024, 3:15 am
Securities and Exchange Commission Mr. [read post]
9 Apr 2024, 10:34 am
Over the past 2.5 years the Securities and Exchange Commission has charged 60 investment advisory firms and broker-dealers with violations of the record-keeping requirements and collected penalties approaching $2 billion. [read post]
