Hints and tips:
...The US Securities and Exchange Commission issued subpoenas to OpenAI executives in November as part of an investigation into whether Altman had misled its investors, according to people familiar with the...
...Social media noise can push token prices around (Tandon et al), but not as effectively as mainstream media coverage (Coulter)....
...On Friday the US Securities and Exchange Commission charged Morgan Stanley and its former equity syndicate desk head Pawan Passi with fraud in the conduct of block trading business....
...More crypto: The US Securities and Exchange Commission is seeking $2bn in penalties from Ripple Labs after a court found the company had improperly sold some tokens to investors....
...In June the Securities and Exchange Commission charged the exchange with offering unregistered securities and operating an unregistered broker, national securities exchange and clearing agency....
...New documents posted this week with the Securities and Exchange Commission in the US shed some light over how the deal eventually got done, and why it took so long....
...A San Francisco court will hold a hearing on the Securities and Exchange Commission’s bid to force Elon Musk to testify in the regulator’s investigation into his $44bn takeover of social media platform X...
...Elon Musk: A San Francisco court will hear the US Securities and Exchange Commission’s bid to force the tech billionaire to testify in its probe of his $44bn takeover of Twitter, now known as X....
...He and Tesla each paid $20mn to settle legal action from the US Securities and Exchange Commission. Musk also had to resign as Tesla chair, although he kept his position as chief executive....
...The New York-based fund agreed to pay $413mn to US authorities in 2016 to settle the charges and Och himself paid $2.2mn to settle record-keeping violations with the Securities and Exchange Commission....
...He and Tesla each paid $20mn to settle legal action from the US Securities and Exchange Commission. Musk also had to resign as the carmaker’s chair, although he kept his position as chief executive....
...Crypto tokens are not securities any more than baseball cards or sports bets are. Prosecute fraud, maybe regulate crypto exchanges like casinos, and keep the SEC et al out of it....
...Similarly, Securities and Exchange Commission chair Gary Gensler has said that the basic US laws governing securities, exchanges, brokers, funds and advisers, passed in the middle of the past century, should...
...Whatever you might think of Robinhood et al, retail investors do appear to value their services. You can’t ignore the regulatory politics either....
...There is for sure a debate to be had about when the Federal Reserve et al should have pivoted their stance more forcefully to tackle inflationary pressures, and what they should and shouldn’t do now....
...Your article “Lax rules allow corporate fat cats to dump stock” (Opinion, December 23) referred to a study by David Larcker et al explaining how the US Securities and Exchange Commission created a special...
...The Securities and Exchange Commission is plotting a crackdown after fining BNY Mellon’s investment adviser division $1.5mn for allegedly misstating and omitting information about ESG investment considerations...
...Former Securities and Exchange Commission chair Jay Clayton will become non-executive chairman, a role that Apollo had previously indicated that Black intended to keep....
...For example, in a 2010 opinion (Chevron Corp v Steven Donziger, et al) handed down from the US district court in Manhattan, the judge wrote that the “evidence at trial established that Donziger, a New York...
...(FT) DoorDash goes public The San Francisco food-delivery company will make its trading debut on the New York Stock Exchange....
...However, the Securities and Exchange Commission charged Mr Musk with making “false and misleading statements”, leading to a settlement in which he paid a personal fine of $20m and agreed to step down as...
...A new SEC rule brought in at the end of last year has made it much easier for official dealers to negotiate the types and proportions of securities they deliver to exchange traded fund (ETF) managers when...
...Okta Sector: technology / HQ: San Francisco, US The maker of cloud-based security and identity management technology has more than doubled its share price in 2020 and beaten Wall Street forecasts for three...
...If found to have put out a misleading statement, Mr Musk would be in violation of Rule 10b-5 under the Securities Exchange Act of 1934. The Securities and Exchange Commission declined to comment....
...Meet the man taking on corporate America When the Securities and Exchange Commission chairman Jay Clayton appeared before the Senate Banking Committee in December, he was accused of being a “mouthpiece”...
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