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...“Our rules — like any other exchange — are approved by the SEC and provide companies with specified criteria and procedures to maintain compliance,” said a Nasdaq spokesperson....
...The SEC has several months to scrutinise the plans. “I have no idea how much volume they’re going to be doing in the middle of the night....
...And you know what, a lot of good people at the SEC agree with me. They won’t say it publicly....
...“We have long been an advocate of transparency in short selling and have been an active supporter of the SEC’s rules and enforcement efforts designed to monitor and prohibit naked short selling.”...
...But it has not faced action from the SEC or any other apparent challenge about what a district court judge and three appeals court judges have explicitly stated in written opinions: that Apollo was, institutionally...
Vessel owned until recently by US private equity group Oaktree Capital is latest to be hit in Gulf of Aden
...Hashdex, a Brazilian fund manager, had aimed to convert an existing futures product into a spot bitcoin ETF but was unable to do so on Thursday as the SEC continued to review the paperwork for its conversion...
...Meanwhile, Hunt extended a freeze in fuel duty — a move that will be welcomed by many drivers, but will cost the government £5bn while slowing the UK’s transition to clean road transport....
...In addition to the DoJ and SEC investigations, the incident prompted probes by the California DMV, the California Public Utilities Commission and the National Highway Traffic Safety Administration....
...That was followed by new safety guidelines in December for the use of autonomous vehicles in public transport....
...The broker-dealers charged by the SEC admitted that staff exchanged personal messages about the businesses....
...The US securities regulator says Texas-based Agridime LLC and its owners — Josh Link and Jed Wood — have been running a $191mn Ponzi scheme selling “Cattle contracts” in 15 states....
...Then SEC chair Gary Gensler used his personal X account to shoot down what turned out to be a hack....
...According to the SEC, Stoner Cats 2 LLC’s offering raised roughly $8mn from investors by selling more than 10,000 NFTs for roughly $800 each. The offering sold out in 35 minutes....
...Further reading— The rise of the sloppy SEC filing...
Decision a blow just months after regulators cleared the way for robotaxis to operate in San Francisco
...founder really doesn’t like the US Securities and Exchanges Commission’s proposals for tackling the Treasury basis trade that has caused plenty of angst in regulatory circles in recent years: “If the SEC...
...The SEC believes this arrangement provides enough surveillance to avoid the risk of investors being harmed by criminal activity....
...Back in 2012 the SEC halted trading in almost 400 “dormant companies” after a wave of Chinese companies with dubious accounting had listed in the US via reverse merger....
...The developments come only months after San Francisco became the first US city in which driverless taxis were free to transport passengers without restrictions and without the supervision of humans behind...
...San Francisco this year became the first US city to allow driverless taxis to transport passengers without restrictions and without the supervision of humans behind the wheel....
...Genesis Global Capital LLC agreed to pay a $21mn civil penalty to settle charges that it engaged in the unregistered offer and sale of securities through its Gemini Earn program, the SEC announced on Tuesday...
...Inbox: The Securities and Exchange Commission today charged Stoner Cats 2 LLC (SC2) with conducting an unregistered offering of crypto asset securities in the form of purported non-fungible tokens (NFTs...
Investor cuts exposure to failed US trucking company after jockeying over debtor-in-possession financing
One way to lower rates would be to add entertainment systems to show adverts
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