Search for: "U. S. Securities and Exchange Commission" Results 21 - 40 of 451
Sort by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
Grayscale may have won its ETF battle with the SEC, but can it win the war between crypto and the U.S. financial system?
12 Jan 2024, 7:42 am by Malecki Law Team
Grayscale led the fight at the Securities and Exchange Commission (“SEC”) for approval of spot bitcoin-exchange traded funds (“ETFs”). [read post]
New York Securities Fraud Lawyers Blog - http://www.newyorksecuritieslawyersblog.com/
MPs want the U.S. Securities and Exchange Commission to cut JBS out of American financial markets
10 Jan 2024, 9:02 pm by Dan Flynn
Securities and Exchange Commission (SEC) approval. [read post]
Food Safety News - http://www.foodsafetynews.com/
The U.S. Supreme Court & Environmental Law in 2024
3 Jan 2024, 7:54 am by Richard Frank
Securities & Exchange Commission v. [read post]
Legal Planet - https://legal-planet.org/
Ropes & Gray Discusses New Law to Criminally Prosecute Corrupt Foreign Officials
1 Jan 2024, 9:01 pm by renholding
Securities and Exchange Commission to investigate and bring civil enforcement actions against foreign officials for seeking or accepting a bribe. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Through These Many Years, I Continue To Perseverate On Whether Coal Is A Mineral
21 Dec 2023, 4:24 pm
Readers may recall that I have penned several posts on the subject whether coal is a mineral for purposes of the Securities and Exchange Commission's resource extraction disclosure rules: Is Coal A Mineral And Why Ask? [read post]
California Corporate & Securities Law - https://www.calcorporatelaw.com/
U.S. Commerce Secretary says Huawei’s chip breakthrough is “incredibly disturbing” and we need different tools
12 Dec 2023, 9:30 am by jeffreynewmanadmin
As required by law, Nvidia has submitted information to the Securities and Exchange Commission listing its subsidiary companies. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
A complete U-turn in jurisprudence: HADOPI and the future of the CJEU’s authority
3 Dec 2023, 10:30 pm by Chloé Berthélémy
The case, brought by the digital rights group, La Quadrature du Net, questions the compatibility of the “HADOPI” law, the French legal framework to combat the online exchange of copyrighted material without permission from right-holders, with European Union law. [read post]
European Law Blog - https://europeanlawblog.eu/
Court Rules Director Of California Corporation Has A Duty To Disclose When Soliciting Consents
1 Dec 2023, 12:15 am
  This contrasts sharply with the Schedule 14C of the Securities and Exchange Commission, which requires extensive and very detailed disclosure requirements on companies with class of securities registered pursuant to Section 12 of the Exchange Act or of a class of securities issued by an investment company registered under the Investment Company Act of 1940 that has made a public offering of securities . [read post]
California Corporate & Securities Law - https://www.calcorporatelaw.com/
Pending Obligations Under SEC’s Cybersecurity Disclosure Rules by Avery Dial , Esq, 11-21-2023
21 Nov 2023, 11:46 am by Kaufman Dolowich
Securities and Exchange Commission’s recently adopted cybersecurity disclosure rules. [read post]
Kaufman Dolowich & Voluck, LLP Blog - http://www.kdvlaw.com/news-resources/category/blog/
U.S. Chamber Strikes Back At NLRB Joint-Employer Rule
15 Nov 2023, 6:57 am by Joshua Fox and Raymond Arroyo
  The Chamber has successfully mounted legal challenges to the exercise of authority by a number of administrative agencies, including the Securities and Exchange Commission and the Federal Trade Commission. [read post]
Labor Relations Update - http://www.laborrelationsupdate.com
SEC Charges Middlesex Mortgage Group and Masanotti with Running $5.9 Million Ponzi Scheme The U.S. Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. Masanotti, Jr. (“Masanotti” of Darien, Connecticut and his company, Middlesex Mortgage Group LLC (“MMG”), with fraud in connection with investments that MMC induced from outside investors, totaling least $5.9 million, beginning in 2016. Many of the MMG investors allegedly liquidated securities they held in retirement accounts to invest in the fund. The SEC Complaint is accessible here. According to the SEC. MMC and Masanotti allegedly used investor money to make Ponzi-like payments to investors and also used some investor funds for Masanotti’s “extravagant personal expenses,” According to the SEC, Masanotti told investors that MMC would invest their money in foreign currencies, securities and initial public offerings, but in fact MMC appears to have made no investments on their behalf. After receiving their initial payments, Masanotti continued to deceive investors to perpetuate the investment scheme, including via payments that purported to be returns on capital invested, the SEC said. Over the course of the scheme, Masanotti allegedly used more than $3 million of Middlesex’s assets for his and his family’s personal benefit, according to the suit. The SEC accuses Masanotti of violating the Securities Act and the Exchange Act. A Ponzi scheme is a purported investment vehicle in which early investors in the scheme are paid funds from later investors, thus creating the illusion of legitimacy and solvency. Ponzi schemes are often doomed to failure once the perpetrator of the scheme can no longer pay out investors through newly raised money. Some warning signs that every investor should remain mindful of when vetting a potential investment and conducting due diligence include the promise of high returns with guarantees of little or no risk; overly consistent returns with little or no volatility in the in
14 Nov 2023, 4:30 pm by InvestorLawyers
Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. [read post]
Investor Lawyers Blog - https://www.investorlawyers.net/blog/
Cleary Gottlieb Discusses How U.S. Securities Laws Apply to a Bail-In of UK or European Bank
26 Oct 2023, 9:01 pm by renholding
Securities and Exchange Commission (the “SEC”) had highlighted certain legal challenges in executing a bail-in under the U.S. securities laws. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
The Gamification of Banking
19 Oct 2023, 9:05 pm by renholding
  In fact, the Securities Exchange Commission is soliciting comments on a proposed rule that would regulate this phenomenon.[2] In various forms, gamification has spread to economic sectors as diverse as manufacturing, education, advertising, and healthcare. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Commissioner Peirce Declines to Support Final Rules on Beneficial Ownership
10 Oct 2023, 9:01 pm by renholding
For example, how clear is the analytical framework with respect to cash-settled derivative securities that the Release imports from the 2011 security-based swaps release? [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Should We Worry About Robo-Voting?
9 Oct 2023, 9:05 pm by renholding
Securities Exchange Commission (2018): Gary Retelny, CEO of ISS, “[t]he majority of ISS’s institutional shareholders – actually 87 percent of the shares that we execute votes for – vote as per their own custom policies” (p. 192); Katherine Rabin, CEO of Glass Lewis: “[a]t least 80 percent of the voting that’s getting done is getting done in some customized way that isn’t actually similar to ours” (p.… [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
U.S. Tech Legislative & Regulatory Update – Third Quarter 2023
9 Oct 2023, 1:59 pm by Jennifer Johnson, Nicholas Xenakis, Jayne Ponder, Jorge Ortiz, Shayan Karbassi, Olivia Dworkin and Jemie Fofanah
  In addition, on August 4, 2023 the Securities and Exchange Commission (“SEC”) published its final rule on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure in the Federal Register. [read post]
Inside Privacy - http://www.insideprivacy.com
2024 U.S. Proxy Season: Recent Proxy and Annual Report Developments
9 Oct 2023, 6:32 am
Securities and Exchange Commission (the “SEC”) amended rules relating to insider trading arrangements and related disclosures. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
2024 U.S. Proxy Season: Recent Proxy and Annual Report Developments
9 Oct 2023, 6:32 am
Securities and Exchange Commission (the “SEC”) amended rules relating to insider trading arrangements and related disclosures. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Testimony by Chair Gensler Before the U.S. House of Representatives Committee on Financial Services
28 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Testimony by Chair Gensler Before the U.S. House of Representatives Committee on Financial Services
28 Sep 2023, 6:31 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/