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SEC Division of Examinations Risk Alert: Initial Observations Regarding Advisers Act Marketing Rule...
JD Supra· 2 days agoOn April 17, 2024 the Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) issued a Risk Alert regarding ...
Smoke-free casino advocates take fight to shareholders
Las Vegas Review-Journal· 9 hours agoSecurities and Exchange Commission showed the agency did not agree with Caesars’ reasons for...
Beyond the Hype: The SEC's Intensified Focus on AI Washing Practices | JD Supra
JD Supra· 5 days agoThe U.S. Securities and Exchange Commission (SEC) is cracking down on how firms promote their artificial intelligence (AI) technologies to protect investors ...
SEC targets Uniswap Labs, raising concerns over open-source code liability
The Cointelegraph· 2 days agoUniswap Labs is the eponymous developer of the software on which...a widely used decentralized cryptocurrency exchange (DEX) — facilitates trading. The Wells notice follows a reported
Sustainability and ESG Advisory Practice Update, April 2024 | JD Supra
JD Supra· 15 hours agoOn April 4, 2024, the SEC issued an order which voluntarily stayed its climate rules, which were previously announced on March 6, 2024. The SEC noted that ...
Compound Error: Bank Mishandles Customer Accounts and Then Makes it Worse
The National Law Review· 4 days agoSecurities and Exchange Commission (“SEC”).
Brent R. Baker
The National Law Review· 5 days agoMr. Baker is a shareholder and member of Parsons’ litigation, securities and regulatory enforcement departments. Mr. Baker represents broker-dealers, investment advisors, compliance officers ...
FINCEN’s AML Proposal: An Overview for Investment Advisers | JD Supra
JD Supra· 4 days agoEarlier this year, the US Department of the Treasury’s (Treasury’s) Financial Crimes Enforcement Network (FinCEN) published a notice of proposed rulemaking (the Proposal) that would subject ...
Daniel J. Collins
The National Law Review· 4 days agoDan Collins is a nationally recognized trial lawyer who represents clients in complex litigation matters. An award-winning former federal prosecutor, Dan regularly defends clients in investigations ...
Duality Advisers LP Trims Position in Graham Holdings (NYSE:GHC)
ETF DAILY NEWS· 15 hours agoDuality Advisers LP lessened its holdings in shares of Graham Holdings (NYSE:GHC – Free Report) by 13.9% during the fourth quarter, according to the company in its most recent filing with the ...
