Search for: "In Re Securities and Exchange Commission"
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19 Sep 2023, 7:58 am
By Atreya Mathur With the advent of technology, artificial intelligence, new means to create art, and the many copyright, contractual, and ownership issues that arise from it all, it’s interesting to think about what creatives can do with the law and without it to protect better (or monetize) their work. [read post]
14 Sep 2023, 7:50 am
Securities and Exchange Commission, which has been ongoing since March 2022. [read post]
13 Sep 2023, 9:05 pm
In a new article, we examine these questions in the context of the Securities and Exchange Commission’s lawsuits involving crypto assets. [read post]
13 Sep 2023, 8:34 am
With the onset of the crypto winter, the Securities and Exchange Commission is continuing to bring cases against crypto companies. [read post]
12 Sep 2023, 9:01 pm
That’s why we’re updating our rules for the technology and business models of the 2020s. [read post]
12 Sep 2023, 3:25 am
They’re Tanguy. [read post]
7 Sep 2023, 9:03 pm
Securities and Exchange Commission (SEC) issued an order directing equity exchanges and the Financial Industry Regulatory Authority to develop a new plan for producing data used in equity investing. [read post]
6 Sep 2023, 9:01 pm
The CAT funding model we are considering is the product of the CAT LLC, the decisions of which are made by an operating committee consisting of members appointed by each of the self-regulatory organizations (“SROs”)—national securities exchanges and FINRA—who are participants in the CAT NMS Plan (“plan participants”). [read post]
4 Sep 2023, 5:44 am
The fact is that the number of securities suit filings fluctuates. [read post]
1 Sep 2023, 1:20 pm
According to the Securities and Exchange Commission (SEC), at least 13 Peruvian whistleblowers have joined the rank of the over 5,000 international whistleblowers to use the Dodd-Frank Act to report a violation of U.S. securities laws. [read post]
1 Sep 2023, 4:00 am
A jury found Ridley-Thomas guilty of bribery for soliciting favors for his son from the dean of the University of Southern California’s School of Social Work, in exchange for helping secure county contracts for the school. [read post]
30 Aug 2023, 5:47 am
If you’re dealing with complex matters like estate planning or securities law, look out for professionals experienced in these domains. [read post]
29 Aug 2023, 2:23 am
The forum, called the “export control enforcement information exchange,” will meet today. [read post]
27 Aug 2023, 7:49 pm
Western International Allegedly Failed to Supervise REIT Sales June 2022 – The Securities and Exchange Commission charged Western International Securities and five of its brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings, an unrated, high-risk debt security to… [read post]
27 Aug 2023, 6:25 am
., 845 F.3d 1135, 1144 (11th Cir. 2017) (quoting In re Commonwealth’s Motion to Appoint Counsel Against or Directed to Def. [read post]
24 Aug 2023, 9:05 pm
Securities and Exchange Commission (SEC) voted to reform transparency rules for private equity and hedge funds, which together manage about $20 trillion in assets. [read post]
24 Aug 2023, 8:20 am
The FCPA is extremely powerful because it allows an individual to file a report anonymously and confidentially with the United States Securities and Exchange Commission (SEC), effectively protecting whistleblowers from retaliation. [read post]
24 Aug 2023, 6:32 am
Securities and Exchange Commission. [read post]
24 Aug 2023, 6:32 am
Securities and Exchange Commission. [read post]
24 Aug 2023, 5:47 am
Originally proposed in 2015, and re-proposed in July 2022, the amendments are intended to narrow the existing exemption and require broker-dealers who engage in off-exchange proprietary trading to become members of a national securities association. [read post]
