Search for: "Securities and Exchange Commission"
Results 101 - 120
of 26,592
Sort by Relevance
|
Sort by Date
20 Aug 2024, 7:13 am
Commodity Futures Trading Commission (CFTC) announced a whistleblower award of over $1 million dollars. [read post]
20 Aug 2024, 6:22 am
The Securities and Exchange Commission (SEC) has charged Russell Todd Burkhalter, founder and CEO of Drive Planning, LLC, his Atlanta-based company. [read post]
20 Aug 2024, 4:29 am
Recently, the Securities and Exchange Commission (SEC) reportedly commenced investigations into some brokerage firms’ cash sweep programs, according to media reports . [read post]
20 Aug 2024, 4:29 am
Recently, the Securities and Exchange Commission (SEC) reportedly commenced investigations into some brokerage firms’ cash sweep programs, according to media reports . [read post]
20 Aug 2024, 4:29 am
Recently, the Securities and Exchange Commission (SEC) reportedly commenced investigations into some brokerage firms’ cash sweep programs, according to media reports . [read post]
19 Aug 2024, 7:33 am
The Securities and Exchange Commission today announced charges against Carl C. [read post]
19 Aug 2024, 6:06 am
The Securities and Exchange Commission today announced charges against Carl C. [read post]
18 Aug 2024, 9:01 pm
Securities and Exchange Commission (SEC), and the UK Serious Fraud Office (SFO), and is “fully cooperating with the reviews by these agencies. [read post]
17 Aug 2024, 6:36 pm
Claire Methven O’Brien and I have posted the Introductory chapter to the book we are editing: The current state and future trajectories of human rights due diligence laws (Routledge, forthcoming 2025). [read post]
17 Aug 2024, 12:03 pm
I find it very odd that the auditors, who Congress mandated as the songwriters’ last line of defense in many ways, never once mentioned the black box, never mentioned the MLC’s bogus investment policy, never mentioned whether they thought it was perfectly acceptable for the organization to be running hundreds of millions in unmatched and holding close to a billion dollars in publicly traded securities. [read post]
16 Aug 2024, 3:30 am
Here’s an excerpt: The SEC maintains that its “approach to climate-related information has been consistent with its longstanding interpretation of its statutory authority: the Securities Act and the Exchange Act authorize the Commission to mandate disclosures that protect investors by facilitating informed investment and voting decisions. [read post]
16 Aug 2024, 3:00 am
So far, two Democratic House members who have served on intelligence and security committees have called for briefings and for declassification of information related to the possible foreign interference in the election. [read post]
15 Aug 2024, 9:01 pm
The Securities and Exchange Commission on August 14 announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications. [read post]
15 Aug 2024, 10:55 am
The plaintiff investors alleged that the public comments by the target company were misleading in violation of Section 10(b) and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
15 Aug 2024, 9:46 am
The settlement closes a case originally filed in February 2017, which had twice been dismissed with prejudice before finding new life after it was reported in the fall of 2019 that the Securities & Exchange Commission and United States Department of Justice had fined Under Armour for the conduct alleged here. [read post]
15 Aug 2024, 8:48 am
Press ReleaseCopy Link The Securities and Exchange Commission has announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications. [read post]
15 Aug 2024, 5:07 am
The post Early Edition: August 15, 2024 appeared first on Just Security. [read post]
15 Aug 2024, 12:15 am
Jarkesy, 2024 WL 3187811 (June 27, 2024), the United States Supreme Court held that when the Securities and Exchange Commission seeks civil penalties against a defendant for securities fraud, the Seventh Amendment to the U.S. [read post]
14 Aug 2024, 2:11 pm
SEC Reportedly Charges Lifemark and Geoffrey Wolterstorff with Unsuitable Investments The Securities and Exchange Commission (SEC) announced on July 29, 2024 that it has reportedly settled charges against New York-based dually-registered broker-dealer and investment adviser, LifeMark Securities Corporation, and its registered representative, Geoffrey Wolterstorff. [read post]
14 Aug 2024, 1:20 pm
The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to…Read the Full Press Release Have a securities law question? [read post]
