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17 May 2024, 6:59 pm
Xi Jinping, General Secretary of the CPC Central Committee, President of the State, and Chairman of the Central Military Commission, delivered an important speech at the closing meeting. [read post]
17 May 2024, 12:27 pm
Enlarge (credit: Brendan Smialowski / Getty Images) The Securities and Exchange Commission (SEC) will require some financial institutions to disclose security breaches within 30 days of learning about them. [read post]
17 May 2024, 12:17 pm
Securities and Exchange Commission (SEC) awarded a whistleblower after the whistleblower appealed a denial before the U.S. [read post]
17 May 2024, 7:45 am
The Securities and Exchange Commission today announced that Policy Director Heather Slavkin Corzo will leave the agency. [read post]
17 May 2024, 6:31 am
Securities and Exchange Commission. [read post]
17 May 2024, 6:31 am
Securities and Exchange Commission. [read post]
17 May 2024, 6:05 am
The Independent International Commission of Inquiry on Ukraine, which the U.N. [read post]
17 May 2024, 3:00 am
Out of 75 Black women who have run or are running for the U.S Senate since 2010, 10 have secured major-party nominations. [read post]
16 May 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
16 May 2024, 9:43 am
Recent enforcement actions by the Securities and Exchange Commission (SEC) against firms engaged in AI washing underscore the importance of transparency and accuracy in representing AI capabilities. [read post]
16 May 2024, 7:45 am
The Securities and Exchange Commission today announced that Tina Diamantopoulos has been named Director of the Chicago Regional Office, the Commission’s second-largest regional office. [read post]
16 May 2024, 5:35 am
The Securities and Exchange Commission today announced the adoption of amendments to Regulation S-P to modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal information by certain financial institutions. [read post]
15 May 2024, 9:05 pm
These include posting of margin (i.e., reliable collateral) to secure members’ obligations to the clearinghouse. [read post]
15 May 2024, 9:01 pm
Following an investigation by the SEC’s Division of Enforcement, the Commission institutes an administrative proceeding and finds that because of the mutual conflict of interest created by the audit firm’s provision of non-audit services at reduced rates in exchange for being chosen as the company’s auditor, the audit firm and audit partner were not independent within the meaning of Rule 2-01(b) of Regulation S-X. [read post]
15 May 2024, 11:44 am
SEC Charges Hudson Valley Wealth Management and Founder for Breach of Fiduciary Duty On May 14, 2024, The Securities and Exchange Commission (SEC) announced it has settled charges against Hudson Valley Wealth Management Inc., a registered investment adviser based in New York, and its founder. [read post]
15 May 2024, 11:15 am
The Securities and Exchange Commission published its 2024 report on Form ADV data for investment advisers. [read post]
15 May 2024, 9:55 am
The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed by investment advisers on Form ADV. [read post]
14 May 2024, 12:39 pm
The Securities and Exchange Commission and the U.S. [read post]
14 May 2024, 12:17 pm
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover, for breaching their fiduciary duties by failing to disclose conflicts of interest and making misleading statements to their clients. [read post]
14 May 2024, 11:55 am
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and…Read the Full Press Release Have a securities law question? [read post]
