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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]
6 Jan 2012, 6:07 pm
He also allegedly provided misleading and untruthful information about Anthony Fields & Associates’ clients, assets under management, and operational history on the company’s Web site and in filings submitted to the Commission. [read post]
14 Apr 2008, 8:06 am
Securities Exchange Commission (SEC) and securities brokers weighed in and claimed the TIC territory as their own. [read post]
17 Sep 2017, 7:30 pm
The ratings assigned to the offered notes will be issued based on the financial guarantee rating of Ambac Assurance Corporation as the note insurer.In connection with the transactions, each purchaser trust has filed with the Securities and Exchange Commission a preliminary prospectus supplement providing additional details regarding its issuance of asset-backed securities.At the closing of the NCSLT 2007-3 securitization, First Marblehead expects to receive… [read post]
20 Mar 2018, 9:34 am
Securities and Exchange Commission (the “SEC”), the Federal Housing Finance Agency, and the Department of Housing and Urban Development (collectively, the “Agencies”) implemented the credit risk retention requirements of Dodd-Frank. [read post]
30 Mar 2015, 11:19 am
On Monday, March 30, 2015, the Securities and Exchange Commission (“SEC”) filed an Order Instituting Administrative Cease-and-Desist Proceedings (“Order”) against Patriarch Partners, LLC, Patriarch Partners VIII, LLC, Patriarch Partners XIV, LLC, Patriarch Partners, XV, LLC (collectively “Patriarch Partners”), and CEO Lynn Tilton (“Tilton”), alleging that Tilton and Patriarch Partners breached their fiduciary duty to investors. [read post]
5 Apr 2011, 7:42 am
The Securities and Exchange Commission March 30 unanimously proposed to require that national securities exchanges adopt certain listing standards with respect to corporate board compensation committees and compensation advisers. [read post]
27 Jan 2012, 10:56 am
Securities and Exchange Commission, said that not every failure was a violation of the law. [read post]
12 Sep 2023, 9:01 pm
In the Dodd-Frank Act of 2010, Congress effectively required most private fund advisers to register with the Securities and Exchange Commission. [read post]
5 Oct 2009, 5:00 am
Katz, Secretary (1986-2006), United States Securites and Exchange Commission Edward S. [read post]
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]
5 Sep 2012, 10:14 am
The case is Securities & Exchange Commission v. [read post]
20 Jun 2023, 9:01 pm
On June 7, 2023, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation M, replacing the investment-grade exceptions for non-convertible debt or preferred equity securities with credit risk exceptions based on a specified probability of default threshold assessed by the lead manager in writing pursuant to a structural credit risk model.[1] The amendments also require broker-dealers relying upon the new exceptions to preserve the written… [read post]
21 Nov 2011, 7:43 am
" On October 31st, the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC") jointly announced final rules relating to new reporting requirements for advisers of certain private funds, commodity pool operators and commodity trading advisors.2 The new rule will require filing of Form PF (for "private fund") by investment advisers registered with the SEC that advise private funds having at… [read post]
26 Aug 2023, 8:52 am
SEC Approves New Rules Impacting Investment Advisers and Funds On Wednesday, August 23, 2023, the Securities and Exchange Commission (SEC) voted 3-2 along party lines to approve new rules and rule amendments under the Investment Advisers Act of 1940 (Advisers Act). [read post]
8 Feb 2024, 9:01 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
1 Oct 2012, 12:24 pm
In Richmond, the Plaintiffs filed a lawsuit claiming the Defendants (Goldman Sachs and two Goldman Sachs employees) violated Section 10(b) of the Exchange Act, Rule 10b-5 promulgated thereunder, and Section 20(a) of the Exchange Act due to their failure to disclosure the fact they had received Wells Notices from the Commission notifying them they were under investigation by the Commission into the role they played in certain securities instruments related… [read post]
1 Oct 2012, 12:24 pm
In Richmond, the Plaintiffs filed a lawsuit claiming the Defendants (Goldman Sachs and two Goldman Sachs employees) violated Section 10(b) of the Exchange Act, Rule 10b-5 promulgated thereunder, and Section 20(a) of the Exchange Act due to their failure to disclosure the fact they had received Wells Notices from the Commission notifying them they were under investigation by the Commission into the role they played in certain securities instruments related… [read post]
