Hints and tips:
...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....
...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....
...The details of Nasdaq-listed VinFast’s sales were contained in filings to the US Securities and Exchange Commission in July and September....
...Silver Lake has had ties to Qualtrics since it was relisted on the Nasdaq exchange in early 2021....
...But as Steven Kelly of the Yale Program on Financial Stability pointed out to me, Yellen et al will need the goodwill of the big banks should some other bank or banks get into trouble....
...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....
...The Securities and Exchange Commission has notified Coinbase that it is considering enforcement action against the company, according to a document seen by the Financial Times....
...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....
...The US Securities and Exchange Commission has issued a proposal on standardising funds’ ESG disclosures....
...The Masimo/Koffey quarrel comes during a particularly heated moment in corporate activism: a new so-called “universal proxy card” rolled out by the US Securities and Exchange Commission has made it easier...
...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 US Securities and Exchange Commission is seeking to compel hedge funds and private equity groups to disclose quarterly performance and fees charged to investors, as the agency pushes back against activities...
...It would also put it even more firmly in the crosshairs of the Securities and Exchange Commission....
...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...
...The UK and the EU are planning to tighten the rules for ESG rating agencies, and the US Securities and Exchange Commission recently levelled a $1.5mn fine at the fund management arm of BNY Mellon for allegedly...
...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...
...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...
...The Securities and Exchange Commission posted MEMX’s exchange application on its website for public comment, signalling the end of a private consultation with the regulator that began when the group announced...
...One idea used in the past is for the EIB to extend finance to commercial banks which are then able to leverage it to boost their own lending to small and medium-sized enterprises, and this will probably...
...CrowdStrike Sector: cyber security / HQ: Sunnyvale, us Demand for CrowdStrike’s cyber security software has boomed as companies set up remote workforces and accelerated plans to move data to the cloud....
...and Exchange Commission in 2013....
...In a filing to the Securities and Exchange Commission, Anadarko said that on April 11 its board’s compensation and benefits committee had approved several changes to executive pay, including revisions to...
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