Search for: "In Re Securities and Exchange Commission"
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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]
16 Sep 2024, 6:51 am
” “Philip Markin knew or was reckless in not knowing that the information was material and nonpublic, the Securities and Exchange Commission said in a complaint filed in the US District Court for the Southern District of New York. [read post]
11 Sep 2024, 12:12 pm
Now it’s facing a $1.5 million fine from the US Securities and Exchange Commission because it didn’t disclose concerns raised by recycling experts in its annual reports.The Coutts border protestors who showed up with weapons ended up with 6.5-year prison sentences. [read post]
11 Sep 2024, 12:12 pm
Now it’s facing a $1.5 million fine from the US Securities and Exchange Commission because it didn’t disclose concerns raised by recycling experts in its annual reports.The Coutts border protestors who showed up with weapons ended up with 6.5-year prison sentences. [read post]
10 Sep 2024, 3:33 am
This means less money owed to the IRS on their tax bill in exchange for their service on the front lines of US military operations. [read post]