Search for: "In Re Securities and Exchange Commission" Results 161 - 180 of 2,792
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14 Aug 2023, 5:36 am by Guest Author
  If you’re having trouble understanding the difference, Josh Chafetz has the best articulation of the “strong” version of the MQD: “If a majority of justices determine that eating an ice cream cone is a major question, then it is not enough that Congress has empowered the agency to ‘eat any dessert it chooses. [read post]
13 Aug 2023, 9:01 pm by renholding
Securities and Exchange Commission.[2] In the same speech, Deputy Attorney General Monaco emphasized DOJ’s focus on corporate crime with national security implications, invoking an expression she’s used previously that “sanctions are the new FCPA,”[3] referencing DOJ’s intention to model sanctions enforcement on its approach to enforcing the foreign bribery law. [read post]
11 Aug 2023, 12:49 pm by GraceLegere
FINRA is overseen by the Securities and Exchange Commission (SEC) and is authorized by Congress to protect U.S. investors from investment fraud by making sure the broker-dealer industry operates fairly and honestly. [read post]
11 Aug 2023, 4:00 am by Jim Sedor
“You’re too honest,” Trump berated Pence as he refused to go along with the election plot, according to the indictment. [read post]
10 Aug 2023, 9:05 pm by Haofei Liu
Commission Chair Charlotte A. [read post]
10 Aug 2023, 9:31 am by GraceLegere
According to a press release on March 2, 2022, the Securities and Exchange Commission charged Cambridge Investment Research Advisors, Inc. [read post]
9 Aug 2023, 9:01 pm by renholding
The Capital Proposal would also materially impact banking organizations with significant fee income operations as it includes new operational risk capital charges that are based, in part, on the amount of fee or commission-based income, including fiduciary and custody services, loan servicing, securities brokerage, investment banking, advisory and underwriting, and insurance. [read post]
6 Aug 2023, 9:01 pm by renholding
On July 12, 2023, the Securities and Exchange Commission (the “SEC”) voted 3 to 2 (Commissioners Peirce and Uyeda dissenting) to adopt certain amendments to rules and forms under the Investment Company Act of 1940 (the “Investment Company Act”) intended to improve the resilience and transparency of money market funds (“MMFs”). [read post]
2 Aug 2023, 11:54 am by The White Law Group
FINRA is overseen by the Securities and Exchange Commission (SEC) and is authorized by Congress to protect U.S. investors from investment fraud by making sure the broker-dealer industry operates fairly and honestly. [read post]
The United States Securities and Exchange Commission (“SEC”), for example, has focused on ESG by investigating and taking action against companies that tout business practices such as consideration of environmental sustainability, but fail, in practice, to live up to their claims. [read post]
1 Aug 2023, 6:06 am by The White Law Group
 FINRA is overseen by the Securities and Exchange Commission (SEC) and is authorized by Congress to protect U.S. investors from investment fraud by making sure the broker-dealer industry operates fairly and honestly. [read post]
31 Jul 2023, 6:34 pm
 Pix credit here It has been quite a treat to sit on the sidelines as the glitterati of the business and human rights communities--its influencers, press organs, shock troops, academics (especially its public intellectuals), think tanks (especially those gambling on relevance among a small circle of enablers),  and the units of its discipline inspection shock troops, have, since 2014, engaged in the quite remarkable project of shepherding through the Ottoman hareem that is the United… [read post]
28 Jul 2023, 6:26 pm
    Exhibit 1   Commission President Ursula von der Leyen introduced a “de-risking” proposal in March 2023 for navigating dependency risks in relations with China. [read post]
28 Jul 2023, 1:02 pm by The White Law Group
In August of 2021, The Securities and Exchange Commission stated that John J. [read post]
28 Jul 2023, 7:34 am by Zak Gowen
Visa said in a regulatory filing made Wednesday with the Securities and Exchange Commission (SEC) that the DOJ sought more information about debit cards and other payment methods, according to the report. . . . [read post]
28 Jul 2023, 4:00 am by Jim Sedor
National/Federal Senate GOP Leader McConnell Briefly Leaves News Conference After Freezing Up Midsentence Associated Press News – Mary Clare Jalonick | Published: 7/26/2023 Senate Minority Leader Mitch McConnell briefly left his own press conference after stopping his remarks midsentence and staring off into space for several seconds. [read post]
27 Jul 2023, 7:44 am by Dan Bressler
” “SEC Wins Access to Some Covington & Burling Clients’ Names” — “Covington & Burling LLP must turn over the names of seven clients whose data was compromised in a cyberattack to the US Securities and Exchange Commission, despite objections by the firm and others that to do so would weaken attorney-client privilege. [read post]