Search for: "Securities and Exchange Commission"
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11 Sep 2024, 12:12 pm
Now it’s facing a $1.5 million fine from the US Securities and Exchange Commission because it didn’t disclose concerns raised by recycling experts in its annual reports.The Coutts border protestors who showed up with weapons ended up with 6.5-year prison sentences. [read post]
11 Sep 2024, 8:55 am
The Securities and Exchange Commission announced that Deere & Company, which does business as John Deere, agreed to pay nearly $10 million to resolve SEC charges that it violated the Foreign Corrupt Practices Act (FCPA) arising out of bribes paid by its wholly owned subsidiary, Wirtgen Thailand. [read post]
11 Sep 2024, 8:37 am
As I have more recently observed, Rule 21F-17(a) was adopted pursuant to Section 21F of the Securities Exchange Act (15 U.S.C. [read post]
11 Sep 2024, 6:31 am
Critics have leveled such charges at the Department of Justice, the Federal Bureau of Investigation, the Internal Revenue Service, and even the independent agency that regulates the nation’s securities markets, the Securities and Exchange Commission or SEC. [read post]
11 Sep 2024, 6:31 am
Critics have leveled such charges at the Department of Justice, the Federal Bureau of Investigation, the Internal Revenue Service, and even the independent agency that regulates the nation’s securities markets, the Securities and Exchange Commission or SEC. [read post]
10 Sep 2024, 1:51 pm
Securities and Exchange Commission (SEC) announced on September 10, 2024, that it charged Keurig Dr Pepper Inc. [read post]
10 Sep 2024, 1:51 pm
Securities and Exchange Commission (SEC) announced on September 10, 2024, that it charged Keurig Dr Pepper Inc. [read post]
10 Sep 2024, 1:36 pm
The Securities and Exchange Commission today announced that Deere & Company, which does business as John Deere, agreed to pay nearly $10 million to resolve SEC charges that it violated the Foreign Corrupt Practices Act (FCPA) arising out of bribes…Read the Full Press Release Have a securities law question? [read post]
10 Sep 2024, 9:07 am
The Securities and Exchange Commission continues its relentless assault on firms that have allowed employees to use text messages, WhatsApp, private email, or other “off-channel communications. [read post]
10 Sep 2024, 8:54 am
An essential step to transform ESMA into a regulatory and supervisory agency similar to the Securities and Exchange Commission is to modify its governance and decision-making processes along similar lines as those of the ECB Governing Council, so as to detach them as much as possible from the national interests of EU Member States. [read post]
10 Sep 2024, 7:51 am
The Securities and Exchange Commission today announced six new members to fill vacancies on its Investor Advisory Committee. [read post]
10 Sep 2024, 6:30 am
Securities and Exchange Commission (“SEC”) announced yet another wave of enforcement actions related to widespread “off-channel communications,” charging an additional 26 firms with failing to maintain employee communications on personal devices which related to the firms’ business. [1] The new settlements add nearly $400 million to the billions in civil penalties that the SEC has collected from more than 50 firms over the last few years… [read post]
10 Sep 2024, 6:30 am
Securities and Exchange Commission (“SEC”) announced yet another wave of enforcement actions related to widespread “off-channel communications,” charging an additional 26 firms with failing to maintain employee communications on personal devices which related to the firms’ business. [1] The new settlements add nearly $400 million to the billions in civil penalties that the SEC has collected from more than 50 firms over the last few years… [read post]
10 Sep 2024, 6:06 am
The Securities and Exchange Commission today charged Keurig Dr Pepper Inc. with making inaccurate statements regarding the recyclability of its K-Cup single use beverage pods. [read post]
10 Sep 2024, 3:33 am
This means less money owed to the IRS on their tax bill in exchange for their service on the front lines of US military operations. [read post]
9 Sep 2024, 9:01 pm
Board of Governors of the Federal Reserve and Securities and Exchange Commission v. [read post]
9 Sep 2024, 12:06 pm
The Securities and Exchange Commission today announced settled charges against nine registered investment advisers for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fact or…Read the Full Press Release Have a securities law question? [read post]
9 Sep 2024, 9:25 am
The Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation this week released new educational resources for small business owners that explore the anatomy of income statements and balance sheets. [read post]
9 Sep 2024, 8:59 am
Last week, the Securities and Exchange Commission announced that it had settled charges against a broker-dealer and two investment advisers for impeding their clients from reporting securities law violations to the SEC. [read post]
9 Sep 2024, 8:45 am
The Securities and Exchange Commission today approved the Public Company Accounting Oversight Board’s (PCAOB) new quality control (QC) standard and related amendments to its standards, rules, and forms. [read post]
