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....
...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 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....
...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....
...An enormous amount of capital expenditure is going into what they hope is a new boom in generative AI....
...A US district court judge said that they may fit Securities and Exchange Commission criteria for a security, in a preliminary ruling in a lawsuit against TopShot creator Dapper Labs....
...Whatever you might think of Robinhood et al, retail investors do appear to value their services. You can’t ignore the regulatory politics either....
...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...
...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...
...(NPR) Opinion: There is still work to be done cracking down on methane and other superpollutants (Bledsoe et al, NYT)...
...So Max, let me start with you just with the latest news. I mean it seems to me there's sort of conflicting streams coming out at the moment....
...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...
...and Exchange Commission in 2013....
...and Exchange Commission....
...The Securities and Exchange Commission on Tuesday gave a highly unusual rebuke to the New York Stock Exchange, a unit of ICE, and Nasdaq, saying they could not justify previous increases in fees for lucrative...
...The affliction has apparently become so acute that President Trump announced in August (via Twitter, of course) that he'd requested the US Securities and Exchange Commission to consider scrapping a decades-old...
...They argue that it makes little sense to ban a non-strategic company such as Rusal while leaving Sberbank, VTB and Gazprom et al still tradeable in the US....
...In the report, the Treasury recommended the Securities and Exchange Commission consider whether data fees are “fair and reasonable” when approving changes to them, wading into a bitter battle between brokers...
...Exchanges, business groups and the leadership of the Securities and Exchange Commission have decried the trend and are seeking ways to encourage listings....
...Leon Cooperman, chief executive of Omega Advisors, who is facing civil insider trading charges from the Securities and Exchange Commission, has told investors that prosecutors were waiting for the Salman...
...The Securities and Exchange Commission announced that Robert B Stebbins, a partner at Willkie Farr & Gallagher, has been named General Counsel of the agency....
...In a civil suit last month, the Securities and Exchange Commission accused the Omega Advisors chief executive of insider trading....
...The European Commission is trying to tie us down with red tape, regulate the data we pass to the National Security Agency and is claiming up to $8bn from Apple in unpaid taxes....
...Approval by the Securities and Exchange Commission will give IEX the same status as the New York Stock Exchange, Nasdaq and Bats Global Markets and form a central plank of its plan to effect “lasting systematic...
...He argued that the appeals court’s “unprecedented ruling” clashed with the Supreme Court’s definition of insider trading established in a 1983 case, Dirks v the Securities and Exchange Commission....
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