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SEC, FinCEN Propose CIP Rules for Investment Advisers | JD Supra
JD Supra· 6 days agoThe Securities and Exchange Commission (SEC) and U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly ...
United States Department of Justice and United States Securities and Exchange Commission Jointly...
JD Supra· 4 days agoOn May 10, 2024, the DOJ announced criminal indictments and the SEC filed a civil lawsuit for alleged securities fraud against FAT Brands and related persons. FAT Brands owns ...
He taught at MIT, worked at Morgan Stanley, and convinced Bill Ackman and Galaxy to back his $200...
Fortune via Yahoo Finance· 5 days agoTreasury Department had sanctioned the company almost a year earlier for facilitating illicit...
EU Funds Face Fresh Pressure to Dump US Stocks Under New ESG Regulations
Bloomberg via Yahoo Finance· 3 days ago(Bloomberg) -- The US stock market has emerged as the most exposed to divestment after the European...
JD Supra: Dual registrant regulatory roundup
JD Supra· 2 days agoIn an April 15 speech at NYU School of Law’s Program on Corporate Compliance and Enforcement, SEC Division of Enforcement Director Gurbir Grewal discussed potential risks ...
Troutman Pepper Weekly Consumer Financial Services Newsletter - June 2024 | JD Supra
JD Supra· 6 days agoOn May 31, President Biden executed a veto of a House Joint Resolution that would have repealed the Securities and Exchange Commission’s (SEC) Staff Accounting Bulletin No ...
Right To Know - June 2024, Vol. 18 | JD Supra
JD Supra· 19 hours agoSent to Governor: Last month’s Right to Know mentioned Illinois Senate Bill 2979, which is designed to limit the damages available under Illinois’ Biometric Information Privacy Act. On May 16 ...
A high-stakes jobs report as the economy softens
Politico· 4 days agoTrenton Makes — SEC Enforcement Director and former New Jersey Attorney General Gurbir...
DOJ Announces New Whistleblower Reward Program | JD Supra
JD Supra· 6 days agoOn March 7, 2024, at the American Bar Association’s National Institute on White Collar Crime, Deputy Attorney General Lisa O. Monaco unveiled the...
Stock Market Today: Stocks higher on Fed rate cut bets as jobs data softens
TheStreet.com· 6 days agoStocks ended higher Wednesday, with the S&P 500 and the Nasdaq hitting record highs, as AI giant Nvidia surged and investors gained confidence that the Federal Reserve will begin its policy ...