Search for: "United States Securities and Exchange Commission"
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23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
13 Jun 2018, 1:11 pm
Recently, there has been an important decision that affects how pension fraud schemes are handled within the United States by the Securities and Exchange Commission. [read post]
14 Dec 2023, 11:05 am
If the investment is a “security”, you have to comply with the Securities and Exchange Commission regulations. [read post]
12 Feb 2018, 3:23 am
Morales (United States District Court for the Middle District of Louisiana, No. 3:12-CV-00700 ) a final judgment was entered against hedge fund manager Wa... [read post]
22 Nov 2012, 4:37 am
The Securities and Exchange Commission’s new whistleblower program had a banner first year. [read post]
22 Nov 2011, 7:20 pm
Tyrone Gilliams Jr., 44, was charged with multiple violations of the Securities Act of 1933 and the Securities Exchange Act of 1934 in connection with a scheme that purported to invest in derivatives of United States Treasury securities. [read post]
3 Aug 2015, 11:46 am
Today, the Solicitor General filed a petition for a writ of certiorari in United States v. [read post]
12 Jun 2020, 6:15 am
Securities and Exchange Commission, Respondent (Opinion,United States Court of Appeals for the District of Columbia Circuit)Deutsche Bank to Pay Over $10 Million to Settle Two CFTC Cases (CFTC Release)Young trader dies by suicide after thinking he racked up big losses on Robinhood (CNBC by Yasmin Khorram and Kate Rooney)[In]Securities Gues... [read post]
4 Jul 2018, 3:37 am
SEC Obtains Asset Freeze, Shuts Down $5 Million Ponzi Scheme (SEC Litigation Release No. 24184)https://www.sec.gov/litigation/litreleases/2018/lr24184.htmThe Securities and Exchange Commission filed a Complaint in the United States District Court for the Eastern District of Virginia charging Edward Lee Moody and his wholly-owned investment adviser firm CM Capital Management, LLC with violations of the anti-fraud provisions of Section 17(a) of the… [read post]
29 Jan 2021, 8:50 pm
On 28 January 2021, there was published in the Official Journal of the EU, Commission Implementing Decision (EU) 2021/85 of 27 January 2021 on the equivalence to the requirements of EMIR of the regulatory framework of the United States of America for central counterparties that are authorised and supervised by the US Securities and Exchange Commission. [read post]
27 Aug 2006, 12:30 pm
The United States Department of Justice, the Securities and Exchange Commission, the National Association of Securities Dealers and the New York Stock Exchange, are expected to announce a civil settlement with Prudential Financial Inc. on Monday. [read post]
14 Apr 2010, 10:11 pm
A district court judge has denied James Blahnik’s motion for summary judgment in the United States Securities and Exchange Commission’s securities fraud cause against Delphi Corporation, a number of its senior officers, other employees, and an individual who worked for a third party. [read post]
11 May 2011, 1:00 pm
Japan International Extradition Treaty with the United States March 3, 1978, Date-Signed March 26, 1980, Date-In-Force STATUS: Treaty, with exchange of notes, was signed at Tokyo on March 3, 1978. [read post]
6 Aug 2021, 2:09 pm
United States 21-68Issues: (1) Whether Standard Condition 12 of the U.S. [read post]
8 Sep 2021, 6:54 am
Securities and Exchange Commission. [read post]
