Search for: "Securites And Exchange Commission"
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25 Mar 2022, 5:48 am
Securities and Exchange Commission, on Tuesday, March 22, 2022 Tags: Climate change, Disclosure, Environmental disclosure, ESG, SEC, SEC rulemaking, Securities regulation, Stakeholders, Sustainability The Law and Economics of Equity Swap Disclosure Posted by Lucian A. [read post]
3 Mar 2022, 7:46 am
Securities and Exchange Commission, on March 2, 2022, the regulator reportedly charged former broker Joseph DeGregorio of Freehold, NJ, with allegedly defrauding several elderly investors of more than a million dollars over a five-year period. [read post]
26 Jan 2022, 9:34 am
U.S. securities records are on a service called EDGAR, maintained by the Securities and Exchange Commission. [read post]
13 Jan 2022, 9:15 am
In 2021, El Salvador enacted legislation to recognize Bitcoin as a medium of exchange. [read post]
15 Oct 2021, 8:43 am
” DOJ explained the NCET will work closely with other federal agencies, such as the Securities and Exchange Commission, the Commodity Futures Trading Commission, and the Department of Treasury, to pursue the following goals: Investigate and prosecute cryptocurrency cases, comprising a central part of a nationwide enforcement effort to combat the use of cryptocurrency as an illicit tool. [read post]
15 Oct 2021, 8:43 am
” DOJ explained the NCET will work closely with other federal agencies, such as the Securities and Exchange Commission, the Commodity Futures Trading Commission, and the Department of Treasury, to pursue the following goals: Investigate and prosecute cryptocurrency cases, comprising a central part of a nationwide enforcement effort to combat the use of cryptocurrency as an illicit tool. [read post]
15 Oct 2021, 8:43 am
” DOJ explained the NCET will work closely with other federal agencies, such as the Securities and Exchange Commission, the Commodity Futures Trading Commission, and the Department of Treasury, to pursue the following goals: Investigate and prosecute cryptocurrency cases, comprising a central part of a nationwide enforcement effort to combat the use of cryptocurrency as an illicit tool. [read post]
17 Sep 2021, 1:19 pm
The Securites And Exchange Commission (SEC) has also become involved, filing its own lawsuit against the company committing fraud. [read post]
15 Jun 2021, 8:49 am
Securities and Exchange Commission’s Division of Trading and Markets. [read post]
4 May 2021, 6:13 am
Importantly, the 2017 Ordinance also allowed foreign entities conducting activity similar to that of credit institutions, AIF, UCITS, OFS or securitization vehicles to acquire unmatured loan receivables from French credit institutions, AIF, UCITS, OFS or securitization vehicles. [read post]
2 Apr 2021, 1:29 pm
Greensill, a simple supply chain finance company went belly up after deciding to securitize supplier invoices. [read post]
1 Dec 2020, 12:48 pm
March 2019 – According to a cease and desist order, the Securities and Exchange commission charged Calton & Associates, Inc. with breaches of fiduciary duty and inadequate disclosures in connection with its mutual fund share class selection practices and the fees it and its associated persons received. [read post]
6 Nov 2020, 6:30 am
Securities and Exchange Commission, on Tuesday, November 3, 2020 Tags: Capital formation, Equity offerings, Investor protection, Registration exemptions, SEC, Securities regulation Statement by Chairman Clayton on Harmonizing, Simplifying and Improving the Exempt Offering Framework Posted by Jay Clayton, U.S. [read post]
2 Sep 2020, 6:42 am
Securities and Exchange Commission (SEC) published a final rule amending the regulations that implement Section 13 of the Bank Holding Company Act (the “BHC Act”), commonly known as the Volcker Rule. [read post]
24 Jul 2020, 6:23 am
"As laid out in the 2011 report of the Financial Crisis Inquiry Commission, a "combination of excessive borrowing, risky investments, and lack of transparency put the financial system on a collision course with crisis. [read post]
15 Jul 2020, 7:20 am
Their wide variety of high-quality legal services, including initial public offerings, follow-on offerings, corporate debt and convertible debt offerings, merger and acquisition projects, material asset reorganizations, and backdoor listings, has won them industrywide recognition and their partners have been invited to serve on the Issuance Appraisal Committee and the Merger & Acquisition and Reorganization Committee of the China Securities Regulatory Commission; and the expert… [read post]
25 Jun 2020, 5:13 pm
Some have criticized the practice as anticompetitive, an obstacle to broad and diverse participation on swap execution facilities (SEFs), and potentially inconsistent with numerous provisions of the Commodity Exchange Act (CEA) and Commission regulations. [read post]
11 May 2020, 9:04 am
The Markets and Cyber Risk The Securities and Exchange Commission (SEC) noted—in a 2018 statement—the increasing risk of cybersecurity incidents for investors. [read post]
1 May 2020, 2:11 am
Importantly, the 2017 Ordinance also allowed foreign entities conducting activity similar to that of credit institutions, AIF, UCITS, OFS or securitization vehicles to acquire unmatured loan receivables from French credit institutions, AIF, UCITS, OFS or securitization vehicles. [read post]
21 Apr 2020, 12:46 pm
In November 2019, the financial services regulators responsible for the Volcker Rule regulations (the Board of Governors of the Federal Reserve Board, the Office of the Comptroller of the Currency, the Commodity Futures Trading Commission, the Federal Deposit Insurance Corporation and the Securities and Exchange Commission, collectively, the “Agencies”) issued final rules revising the proprietary trading restrictions placed on certain banking entities (the… [read post]
