Search for: "In Re Securities and Exchange Commission"
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4 Nov 2024, 9:03 pm
Securities and Exchange Commission to block their IPO efforts until the truth is uncovered,” Elan continued. [read post]
4 Nov 2024, 9:01 pm
Commodity Futures Trading Commission (the “CFTC”) initiated enforcement actions against a carbon credit project developer and two of its executives for violating the antifraud provisions of the Commodity Exchange Act (the “CEA”) and CFTC regulations. [read post]
2 Nov 2024, 2:56 pm
Tianjin Pharmaceutical Da Re Tang Group Corp Ltd Tianjin Pharmaceutical Da Re Tang Group Corp Ltd is a Chinese pharmaceutical company that manufactures and markets Traditional Chinese Medicine (TCM). [read post]
31 Oct 2024, 3:00 am
A recent report commissioned by the Dutch Ministry of Justice and Security (published in an English book here) found that most collective actions seeking damages brought under the WAMCA have an international dimension, and that all of these claims for damages are brought with the help of third party litigation funding (TPLF). [read post]
31 Oct 2024, 12:14 am
Banned industries include: management of pensions; securities and future exchanges; universities; professional bodies; certain grain cultivation; and financial market management. [read post]
30 Oct 2024, 2:08 pm
If you have knowledge of a Ponzi scheme or other investment fraud, you may be able to help stop the fraud and earn financial compensation for yourself by submitting a whistleblower tip to the Securities and Exchange Commission (SEC). [read post]
24 Oct 2024, 9:01 pm
She states that “[t]he Commission both misreads Keurig’s statement and overreacts to its own misreading. [read post]
21 Oct 2024, 9:01 pm
Nearly four years ago, Jen Psaki was freshly in her White House press secretary job when she had to answer questions about the GameStop fallout from the podium.[1] A few months later, my first testimony as SEC Chair was centered on those events.[2] (As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff.) [read post]
21 Oct 2024, 3:58 am
For example, in many Asian cultures, it is considered polite to exchange gifts as a token of appreciation. [read post]
10 Oct 2024, 9:05 pm
Supreme Court’s recent holding in Securities and Exchange Commission (SEC) v. [read post]
3 Oct 2024, 7:20 am
Securities and Exchange Commission (SEC), and ERAs, who report certain information without SEC registration, now fall under the “financial institution” category defined by the BSA. [read post]
26 Sep 2024, 9:05 pm
Securities and Exchange Commission (SEC) ordered 11 financial firms to pay over $88 million in fines for “widespread recordkeeping failures. [read post]
26 Sep 2024, 3:15 am
While we’re on the topic of potential consequences for violating Section 16 of the Exchange Act, did you ever wonder what would happen if somebody tried to dodge paying over short swing profits under Section 16(b)? [read post]
24 Sep 2024, 9:01 pm
Securities and Exchange Commission. [read post]
22 Sep 2024, 9:10 pm
There was a common perception that the difficulties faced wereworth bearing in exchange for access to China’s large and dynamic market, world-leading manufacturingclusters and comparatively cheap labour. [read post]
20 Sep 2024, 3:00 am
It comes only weeks after Elon Musk re-posted a parody of a Kamala Harris campaign ad on X that garnered millions of views and used AI-powered voice manipulation to make it seem Harris called herself an incompetent presidential candidate. [read post]
19 Sep 2024, 9:05 pm
Securities and Exchange Commission (SEC) adopted amended rules allowing exchanges to quote stocks at half-penny increments, lowering the previous one-penny minimum for certain stocks. [read post]
19 Sep 2024, 3:30 am
Here’s more from the 2-page fact sheet: On September 18, 2024, the Securities and Exchange Commission adopted amendments to [e]stablish a second minimum pricing increment, also known as tick size, of $0.005 under Rule 612 of Regulation NMS for the quoting of certain NMS stocks, which are stocks listed on a national securities exchange, regardless of trading venue…. [read post]
18 Sep 2024, 9:01 pm
In 1975, Congress tasked the Securities and Exchange Commission with responsibility to facilitate the establishment of the national market system and enhance competition in the securities markets, including the equity markets. [read post]
18 Sep 2024, 6:51 am
Steps to Take If Hit by a Rideshare Driver If you’re involved in an incident with a rideshare driver in Chicago, such as Uber or Lyft, taking the right steps immediately afterward is vital to ensure your safety and to protect your rights. [read post]
