Search for: "In Re Securities and Exchange Commission" Results 101 - 120 of 2,798
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1 Dec 2023, 10:24 am by Hugh D. Berkson
Private Placements Private placements – securities that aren’t traded on a securities exchange like the New York Stock Exchange – pay a much higher commission than you’d see with a stock, bond, or mutual fund that is traded every moment of every day. [read post]
1 Dec 2023, 3:00 am by Jim Sedor
Members of Congress Head for the Exits, Many Citing Dysfunction Yahoo News – Kayla Guo (New York Times) | Published: 11/26/2023 More than three dozen members of Congress have announced they will not seek re-election next year, some to pursue other offices and many others simply to get out of Washington. [read post]
30 Nov 2023, 4:28 am by Ronald Mann
ShareWednesday’s argument in Securities and Exchange Commission v. [read post]
29 Nov 2023, 7:12 am by Unknown
Securities Act Rule 230.192 will implement Securities Act Section 27B and bar transactions in asset-backed securities that involve or result in material conflicts of interest. [read post]
16 Nov 2023, 10:19 am by Chris Castle
In fact, The MLC, Inc. has a pretty substantial position in this fund, sufficient to be what is called a “Control Person” that owns 25% or more of the fund that the PYLSX is required to disclose in its fundraising materials to the Securities and Exchange Commission (Form N-1A Registration Statement filed February 28, 2023). [read post]
15 Nov 2023, 5:57 am by Patricia Viseur Sellers
” The re-distribution of enslaved Black African migrants, or militia-held “bush wives” are acts of the slave trade, among others. [read post]
12 Nov 2023, 1:00 am by Banks Law Office
Since They Were First Issued In 2012, L-Bonds Have Been Very Risky And Illiquid GWG began selling what it called “Renewable Secured Debentures” (which it would later re-name “L-Bonds”) in 2012. [read post]
8 Nov 2023, 11:55 am by Silver Law Group
In December 2022, Congress amended the AMLA whistleblower program of 2020 with the intention of better aligning the AMLA program with successful whistleblower programs at the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
8 Nov 2023, 9:56 am by Silver Law Group
The AMLA fortified existing laws, such as the Bank Secrecy Act (BSA), as well as a somewhat anemic whistleblowing program, to align it more closely with the highly-successful Securities and Exchange Commission (SEC) whistleblower program. [read post]
3 Nov 2023, 10:39 am by The White Law Group
 They’re under the watchful eye of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). [read post]
3 Nov 2023, 8:41 am by Katelynn Minott, CPA & CEO
Keep in mind that if you’re converting the money into another currency, an exchange rate will apply as well. [read post]
1 Nov 2023, 9:01 pm by renholding
Meanwhile, in Asia, Korea’s Fair Trade Commission (KFTC) raided four local securities companies over price fixing allegations related to the commission that the companies charged on their products, and Hong Kong’s Competition Commission conducted a third round of inspections at one of the city’s largest fish markets. [read post]
1 Nov 2023, 5:00 pm by William D. Jewett
In the years since the 2016 fiduciary rule, the Securities and Exchange Commission’s Regulation Best Interest and the National Association of Insurance Commissioners’ Model Regulation on Suitability in Annuity Transactions have taken up the mission of ensuring that advisers to retail investors act in the investor’s best interest. [read post]
31 Oct 2023, 11:41 am by jeffreynewmanadmin
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]
26 Oct 2023, 12:50 pm by The White Law Group
Look for firms that are members of relevant regulatory bodies, such as the Securities and Exchange Commission (SEC), or the Financial Industry Regulatory Authority (FINRA). [read post]
26 Oct 2023, 6:31 am by Alka Pradhan
Following the exchange about transfers, however, things went progressively south. [read post]
19 Oct 2023, 9:05 pm by Gianna Hill
The Securities and Exchange Commission (SEC) adopted new rules to provide greater transparency around short selling, an activity where investors bet that a stock’s price will fall. [read post]
18 Oct 2023, 7:43 am by The White Law Group
More recently, the FBI and the Securities and Exchange Commission have cautioned investors regarding this issue. [read post]