Search for: "U.S. Securities and Exchange Commission"
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10 May 2024, 1:06 pm
Securities and Exchange Commission (SEC) under the highly successful Dodd-Frank Act,” Kohn writes. [read post]
10 May 2024, 6:45 am
EPA On March 14, 2022, the U.S. [read post]
10 May 2024, 3:00 am
The Miami Herald has reported the mayor received a $10,000 monthly retainer and was also promised commissions if he helped woo investors, find real estate, and secure financing for Kapoor’s projects in Miami and elsewhere. [read post]
9 May 2024, 10:35 pm
Securities Exchange Commission received when they tried to regulate cryptocurrencies after years of letting the industry grow unchecked. [read post]
9 May 2024, 2:00 pm
Then they realized it was a scam that might play out by there being an exchange of bank info or something to that effect. [read post]
9 May 2024, 3:00 am
That’s not the case, and this Dorsey blog provides a reminder of the potentially calamitous consequences to the issuer associated with paying an unlicensed finder: The Securities and Exchange Commission (SEC) has taken the position that a person receiving a finder’s fee with respect to a purchase of securities by a U.S. investor will, in many cases, be treated as having acted as a “broker” within the meaning of federal… [read post]
8 May 2024, 7:20 pm
The Securities and Exchange Commission (SEC) charged Woods and his firm, Livingston Group Asset Management Company, for securities fraud in August 2021, uncovering a $110 million Ponzi scheme. [read post]
7 May 2024, 12:15 am
On May Day, the plaintiffs filed their opposition to California's motion to dismiss which highlights some differences between the California statutes and the climate disclosure rule recently adopted by the Securities and Exchange Commission (and also recently challenged): But even still, the State overstates any overlap. [read post]
4 May 2024, 8:31 pm
Examples of these other exposures that lax privacy, data security, data breach and other cybersecurity practice may create include: Business operating losses from resulting operational disruptions and damages to customer, business partner, shareholder and public trust; Federal Sentencing Guidelines organizational criminal liability arising from violations of electronic crime and other federal criminal data privacy and security laws; Federal Trade Commission Act… [read post]
3 May 2024, 9:05 pm
Securities and Exchange Commission and the Consumer Financial Protection Bureau only have jurisdiction over TPLF under limited circumstances, such as when TPLF lenders register securities on national exchanges. [read post]
2 May 2024, 2:14 pm
When Murray refused and reported the leaders, his supervisor recommended he either be transferred to a role that didn’t have Securities and Exchange Commission certification responsibilities or discharged from UBS entirely. [read post]
2 May 2024, 12:52 pm
The U.S. [read post]
2 May 2024, 8:34 am
Securities and Exchange Commission (SEC) issued a $2.5 million whistleblower award to an individual who voluntarily disclosed original information which led to a successful enforcement action. [read post]
2 May 2024, 8:08 am
Securities and Exchange Commission 23-741Issue: Whether the cross-appeal rule, which prohibits the granting of a remedy in favor of an appellee absent the filing of a cross-appeal, is jurisdictional or otherwise mandatory, or instead admits of any exception, including, among other things, for remands or changes in substantive law. [read post]
2 May 2024, 6:05 am
” Furthermore, as the U.S. [read post]
1 May 2024, 10:16 pm
FINRA, the self-regulator that oversees brokers and brokerage firms and the SEC (Securities and Exchange Commission) may impose sanctions such as censures, fines, suspensions and restitution, among others. [read post]
1 May 2024, 9:05 pm
Securities Law This more rule-based approach suggests that the EU regime is becoming more like the U.S. federal regime. [read post]
1 May 2024, 7:59 am
Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) and Internal Revenue Service (IRS). [read post]
30 Apr 2024, 12:31 pm
Securities and Exchange Commission. [read post]
30 Apr 2024, 6:08 am
Once the Federal Elections Commission sent him a letter, Pecker recalled telling Cohen that he was “very worried. [read post]
