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19 Nov 2023, 6:30 am
Introduction The end of September marked the close of the 2023 fiscal year for the United States Securities and Exchange Commission (the “SEC”). [read post]
19 Nov 2023, 6:30 am
Introduction The end of September marked the close of the 2023 fiscal year for the United States Securities and Exchange Commission (the “SEC”). [read post]
3 Nov 2023, 11:14 am
In Securities & Exchange Commission v. [read post]
21 Dec 2022, 6:03 am
Title V of Division AA of the FY23 appropriations bill would provide for a registration exemption for small business mergers and acquisitions brokers by amending Exchange Act Section 15(b) to add a new subsection (13). [read post]
11 Apr 2024, 4:57 am
Securities and Exchange Commission officials convened at the SEC Speaks Conference in Washington, D.C., to discuss the Commission’s accomplishments in fiscal year 2023 and announce its priorities for 2024. [read post]
20 Sep 2011, 9:00 pm
A qualified custodian maintains those funds and securities: i. [read post]
16 Sep 2016, 1:26 pm
Later, during a public hearing with the City Commission to close out the city’s 2007 Operating Budget, Boudreaux described the transfer as “unallocated” General Fund money that was being moved back to the General Fund. [read post]
3 Nov 2023, 11:09 am
In Securities & Exchange Commission v. [read post]
29 Nov 2017, 4:23 pm
Securities and Exchange Commission, Governance and Transparency at the Commission and in Our Markets (Nov. 8, 2017), available here. [2] 2017 S.E.C. [read post]
1 Dec 2017, 2:55 pm
Securities and Exchange Commission, Governance and Transparency at the Commission and in Our Markets (Nov. 8, 2017), available here. [2] 2017 S.E.C. [read post]
1 Nov 2017, 10:21 am
The Securities and Exchange Commission (SEC) The SEC stands for the Securities and Exchange Commission. [read post]
29 Nov 2023, 9:01 pm
Securities and Exchange Commission’s (“SEC” or “Commission”) Division of Enforcement (“Division”) announced its enforcement results for fiscal year (“FY”) 2023.[1] Disgorgement and penalties were the second highest in the SEC’s history at just under $5 billion, while the overall number of actions rose by 3% over FY 2022. [read post]
3 Apr 2012, 9:45 am
V Expand the small public offering exemption The JOBS Act increase [read post]
30 Dec 2021, 6:00 am
The Securities and Exchange Commission (SEC) Whistleblower Program made headlines for awarding over $500 million to whistleblowers this past fiscal year and the Commodity Futures Trading Commission (CFTC) issued a record $200 million award in October. [read post]
12 Jun 2018, 9:14 am
I presented price indexing to the Greenspan Commission before the 1983 Social Security Amendments, but the Commission focused only on the short run and failed to deal with the distant future. [read post]
15 Jul 2013, 3:38 pm
In addition, financial institutions in countries listed in Schedule 3 of the Money Laundering Regulations, companies with securities that are listed on exchanges or other markets approved by the Cayman Islands Monetary Authority and pension funds are examples of entities for which exemptions exist. [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… [read post]
30 Jun 2017, 6:00 am
Securities and Exchange Commission, according to people familiar with the matter.If ultimately nominated by U.S. [read post]
19 Mar 2018, 10:23 am
Under the legislation establishing the Department of Homeland Security in 2002, the secretary must provide a Homeland Security Review to Congress every four years. [read post]
13 Jul 2020, 9:36 am
In Liu, the Court held that the Securities and Exchange Commission can obtain disgorgement as a form of “equitable relief”—but only to the extent the award “does not exceed a wrongdoer’s net profits and is awarded for victims” under 15 U.S.C. [read post]
