Search for: "In Re Securities and Exchange Commission"
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23 Jan 2025, 12:15 am
Securities & Exchange Commission. [read post]
22 Jan 2025, 12:34 pm
The Securities and Exchange Commission (SEC) swooped in once again to investigate Anti-Money Laundering violations in companies that think they’re being slick. [read post]
21 Jan 2025, 10:31 pm
Please remember of which does the Casino can not require the likelihood to exchange forex. [read post]
21 Jan 2025, 10:31 pm
Please remember of which does the Casino can not require the likelihood to exchange forex. [read post]
21 Jan 2025, 2:23 pm
Some of its apparatus and conceptual constructions, though, might be dated back to the Israeli War of Independence (and before that certain (re)constructions of regimes of displaced persons and forced population movements in Europe between 1945 and 1948, now substantially refined as it has been transposed to a variety of other contexts. [read post]
21 Jan 2025, 12:33 pm
This crime is common in the financial world and is heavily regulated by agencies like the Securities and Exchange Commission (SEC). 4. [read post]
20 Jan 2025, 9:01 pm
Securities and Exchange Commission and Commodity Futures Trading Commission In the fall, the SEC and CFTC published their annual reports on their whistleblower programs, which were created by the Dodd-Frank Act in 2010.[19] The SEC and CFTC programs cover information about violations of the federal securities laws and Commodity Exchange Act, respectively. [read post]
16 Jan 2025, 9:05 pm
The CFPB emphasized that virtual currency transactions often lack the same protections as traditional financial exchanges, leaving consumers vulnerable to fraud or exploitation. [read post]
16 Jan 2025, 6:00 am
The first warning shots were fired back in March, when the Securities and Exchange Commission announced settled charges against two investment advisory companies for making false and misleading statements about their purported use of AI. [read post]
12 Jan 2025, 9:01 pm
DeCarlo after granting a motion for rehearing1 and held that misstatements in an audit opinion may be sufficiently material to investors and thus potentially actionable under Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”) and Rule 10b-5. [read post]
10 Jan 2025, 6:00 am
While the stage appears to be set for a sea of regulatory change, with crypto proponents set to head the Securities and Exchange Commission, Department of Commerce and more, one fundamental gap remains: actual policy being drafted, sponsored and referred to the relevant House or Senate committee. [read post]
9 Jan 2025, 7:00 pm
Private law (contracts) become instruments of public purpose that exceeds the scope of the core relationships in markets--to engage in transactions in which factors of production are brought, consumed or produced in exchange for something of value. [read post]
29 Dec 2024, 9:04 pm
Involving the Securities and Exchange Commission (SEC) in food safety oversight as is currently used to ensure corporate governance and financial integrity would be a start. [read post]
23 Dec 2024, 9:01 pm
Securities and Exchange Commission. [read post]
23 Dec 2024, 3:39 pm
The court concluded that the allegations were substantially true, plus that TMTG in any event didn't adequately allege "actual malice" (i.e., knowing or reckless falsehood on the Post's part): Loan Statements The first statement TMTG challenges is the following, taken from the text of the Post's May 13, 2023, article: [T]he role ES Family Trust would assume in Trump Media and Technology Group has never been officially disclosed to the Securities and… [read post]
23 Dec 2024, 5:00 am
The Securities and Exchange Commission brought charges against three firms for failing to file Form D on time. [read post]
18 Dec 2024, 10:37 am
Securities and Exchange Commission Rule 10b-5. [read post]
16 Dec 2024, 9:03 pm
ENDNOTE [1] See Staff of the Division of Trading and Markets, Securities and Exchange Commission, “Re: Simplified Process for Electronic Filing of Broker-Dealer Annual Report with the Securities and Exchange Commission” (Jan. 17, 2017), available at https://www.sec.gov/divisions/marketreg/mr-noaction/2017/finra-012717-electronic-filing-annual-reports.pdf. [read post]
16 Dec 2024, 9:01 pm
Securities and Exchange Commission. [read post]
13 Dec 2024, 1:18 pm
Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) has published its Examination Priorities for the upcoming fiscal year 2025. [read post]
