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13 Nov 2023, 9:05 pm
”[19]The Interpretive Guidance states that the Council expects to “continue addressing most risks through its collaboration with primary financial regulators” and will base any nonbank financial company designation on “data-driven analysis that reflects the distinctive aspects of the company, its market, and its existing regulation. [read post]
13 Nov 2023, 1:01 pm
Arbitration and Mediation: FINRA operates the largest securities dispute resolution forum in the United States. [read post]
13 Nov 2023, 8:43 am
Emmer’s one-sentence addition to the Act states that “none of the funds made available by this Act may be used by the Securities and Exchange Commission to carry out an enforcement action related to a crypto asset transaction. [read post]
10 Nov 2023, 6:00 am
European Pioneers On tech regulation, the European Union and United Kingdom are several steps ahead of the United States and should be seen in Washington as potential models. [read post]
9 Nov 2023, 9:01 pm
The legal system of the United States has its roots in the laws of England. [read post]
9 Nov 2023, 3:41 pm
The Securities and Exchange Commission (SEC) has taken decisive legal action against Tilila Walker Sumchai, a resident of Richmond, California, accusing her of orchestrating a sophisticated and egregious fraudulent securities offering. [read post]
9 Nov 2023, 4:52 am
The strike is the second time the United States has hit facilities utilized by Iranian-backed groups, following the near daily attacks on U.S. forces in Iraq and Syria by Iranian proxies since October. [read post]
8 Nov 2023, 9:05 pm
Mutual funds are set up by investment management companies, are available to the general public, and are regulated by the Securities and Exchange Commission (SEC). [read post]
3 Nov 2023, 9:30 pm
Alison LaCroix, University of Chicago Law School, discusses her participation on the Presidential Commission on the Supreme Court of the United States. [read post]
3 Nov 2023, 11:14 am
In Securities & Exchange Commission v. [read post]
3 Nov 2023, 11:09 am
In Securities & Exchange Commission v. [read post]
3 Nov 2023, 12:15 am
and Securities And Exchange Commission Amends Rules For Share Repurchase Disclosures [read post]
2 Nov 2023, 11:58 am
FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees the securities industry in the United States. [read post]
1 Nov 2023, 9:01 pm
In the United States, the Department of Justice (DOJ) continues to revamp policies to sharpen its enforcement efforts. [read post]
Wells Fargo faces SEC investigation regarding its cash sweep options for investment advisory clients
1 Nov 2023, 1:53 pm
Securities and Exchange Commission is probing Wells Fargo’s (NYSE:WFC) cash sweep options for investment advisory clients, the bank disclosed in a recent SEC filing. [read post]
1 Nov 2023, 11:41 am
”.[12] There are few different schemes of operations that companies offering fractionalized art ownership employ; Ventures such as Freeport or Masterworks offer prospective[13] buyers a purchase of class A shares under Securities and Exchange Commission (SEC), which are subjected to ordinary securities AML rules. [read post]
31 Oct 2023, 11:41 am
The Securities and Exchange Commission has charged charges against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy G. [read post]
30 Oct 2023, 1:15 pm
The Securities and Exchange Commission charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised. [read post]
30 Oct 2023, 5:40 am
The United States was one of 14 countries that voted against the resolution, with 45 countries abstaining. [read post]
27 Oct 2023, 9:25 pm
Background On 20 October 2023, the Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) issued an updated joint circular on intermediaries’ virtual asset-related activities (Joint Circular) with appendices. [read post]
