#SecuritiesRegulation

@citizenptnewsma.bsky.social

1 month ago

Appeals Court Presses Sides in Investor Suit Over ‘Check the Website’ Disclosure In Jewel LLC v. Shanghua, the Appeals Court heard arguments about whether an email that told an investor to “check the website” satisfied disclosure obligations under the Massachusetts Uniform Securities Act (MUSA) and Chapter 93A. Appellant says the phrase did not convey GTI’s dire finances; respondents cite the trial judge’s credibility findings and SEC filings.

The Appeals Court is questioning whether telling an investor to "check the website" is enough to meet disclosure requirements in a case involving a $64,000 investment and serious financial omissions.

Click to read more!

#MA #CitizenPortal #LegalDisclosure #InvestorRights #SecuritiesRegulation

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Faruqi & Faruqi, LLP

@faruqilaw.com

2 months ago

No-Action No More: SEC Modifies No-Action Process Ahead of Proxy Season - Faruqi & Faruqi LLP On November 17, 2025, the Division of Corporation Finance (the “Division”) of the Securities and Exchange Commission announced significant changes to its handling of shareholder proposals for the 2025...

No-Action No More: SEC Modifies No-Action Process Ahead of Proxy Season

Read Here 👉 faruqilaw.co/4pmper0

#Faruqilaw #SEC #ShareholderProposals #ProxySeason #CorporateGovernance #Rule14a8 #SecuritiesRegulation #ShareholderRights #NoActionRequests #FederalSecuritiesLaw #PublicCompanies

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Basispoint Insight

@basispointinsight.bsky.social

3 months ago

BasisPointInsight.com - Setting the Reform Agenda in the Indian Securities Markets by Indra Chourasia India’s capital markets are evolving rapidly, demanding a regulatory framework that is both modern and market-responsive. by Indra Chourasia, BasisPointInsight.com

1/4 As India builds the capital markets of a Viksit Bharat, SEBI must shift from micro-fixes to a deeper redesign of supervision, principles-based rulemaking, and technology-driven oversight.

#SecuritiesRegulation #MarketReform #SEBI #CapitalMarkets #MarketInfrastructure

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Akin

@akingump.com

4 months ago

On November 7, Akin white collar defense & government investigations co-head Katherine Goldstein spoke at Practising Law Institute (PLI) Law Institute (PLI)'s 57th Annual Conference.

Learn more about Katie's practice: https://bit.ly/4qZo2Ms

#SecuritiesRegulation

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Edward Elgar Publishing

@elgarpublishing.bsky.social

5 months ago

📚Research Handbook on EU Securities Law, ed by Paolo Giudici and Joseph A. McCahery

ℹ️👉https://www.e-elgar.com/shop/isbn/9781800376038
Free sample chapter👉https://doi.org/10.4337/9781800376045

#SecuritiesRegulation #FinancialLaw #CapitalMarketsLaw #EuLaw #Disclosure

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Microcomputer Technology

@microtech.bsky.social

6 months ago

FSA launches consultation service to help companies prepare timely annual securities reports before shareholder meetings. Aiming for smoother corporate governance and investor relations. JapanFinance #SecuritiesRegulation #ShareholderMeeting #FinancialRepor... Link

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Profit Trading USA

@profittradingusa.bsky.social

6 months ago

Click Subscribe. #USEnforcement #SecuritiesRegulation #SEC #InvestingNews #FinancialMarket

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@xstreamfm.bsky.social

8 months ago

ASC issues Cease and Desist Order against GS Partners Global, WealthBuilders Worldwide, Josip Heit, Nathaniel Hines, Jr., Jeanette Hines, Del Lewis, and Diana Lewis [Alabama Securities Commission] The Alabama Securities Commission (ASC) issued a Cease and Desist Order against GS Partners Global (GS Partners), WealthBuilders Worldwide (WealthBuilders), GS Partners Chairman of the Board Josip Heit, and representatives of the companies located in Alabama: Nathaniel Hines, Jr., Jeanette Hines, Del Lewis, and Diana Lewis, to prohibit the companies and individuals from further offers and sales of unregistered securities and from acting as unregistered investment advisors or investment advisor representatives. The ASC investigation is in connection with a multi-jurisdictional investigation which includes regulators from both the US and Canada.

AL. State Agencies:Alabama News Beacon #CeaseAndDesist #InvestmentAdvisors #SecuritiesRegulation #AlabamaSecuritiesCommission #GSPartnersGlobal

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@xstreamfm.bsky.social

8 months ago

ASC, CFTC, and 29 State Regulators Reach Settlement with Safeguard Metals in $68 Million Fraud Targeting Elderly Adults [Alabama Securities Commission] ASC, CFTC, and 29 State Regulators Reach Settlement with Safeguard Metals in $68 Million Fraud Targeting Elderly Adults

AL. State Agencies:Alabama News Beacon #ElderlyFraud #ConsumerProtection #SecuritiesRegulation #FinancialFraud #ElderlyAwareness

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@xstreamfm.bsky.social

8 months ago

Alabama Securities Commission Appoints Amanda Senn Director [Alabama Securities Commission] Alabama Securities Commission Appoints Amanda Senn Director

AL. State Agencies:Alabama News Beacon #AlabamaSecuritiesCommission #AmandaSenn #SecuritiesRegulation #FinancialNews #Investment

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@xstreamfm.bsky.social

8 months ago

ASC Joins with Other State Securities Regulators to Settle with Nexo [Alabama Securities Commission] The Alabama Securities Commission (ASC) announced that a digital asset financial services company, Nexo Group, Nexo Inc., Nexo Capital Inc., Nexo Financial LLC, collectively known as “Nexo”, agreed to settlement terms regarding past unregistered offers and sales of securities to Alabama residents. Nexo shall pay a total of $22,500,000 in fines to the 53 NASAA member jurisdictions, or $424,528.30 per jurisdiction to resolve the violations.

AL. State Agencies:Alabama News Beacon #Nexo #SecuritiesRegulation #DigitalAssets #AlabamaSecuritiesCommission #FinancialServices

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@xstreamfm.bsky.social

8 months ago

Four State Securities Regulators File Enforcement Actions to Stop Sales of Fraudulent NFT Investments tied to the Metaverse [Alabama Securities Commission] Four state securities regulators filed coordinated enforcement actions to stop sales of non-fungible tokens, often referred to as NFTs, by an organization in the country of Georgia. The actions accuse Slotie NFT (“Slotie”) of illegally and fraudulently selling NFTs to raise capital relating to gaming in online and metaverse casinos.

AL. State Agencies:Alabama News Beacon #NFT #Metaverse #SecuritiesRegulation #Fraud #Crypto

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BETTER FINANCE

@betterfinance.bsky.social

9 months ago

We call for a targeted approach, limiting the simplified format to SME Growth Market issuers and promoting standardisation through an EU-wide electronic format and a centralised ESMA-managed platform.
#SecuritiesRegulation #InsiderTrading #FinancialRegulation #RetailInvestors

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BETTER FINANCE

@betterfinance.bsky.social

9 months ago

In its latest advocacy effort, BETTER FINANCE has submitted its response to @esmacomms.bsky.social consultation on the draft Implementing Technical Standards concerning the extension of the alleviated format of insider lists.

👉Read the consultation response: lnkd.in/ePUvkVR9

#SecuritiesRegulation

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Olshan Frome Wolosky LLP

@olshanlaw.bsky.social

9 months ago

@olshanlaw.bsky.social corporate partner Kenneth Silverman and litigation partner Kerrin Klein Publish Article in Securities Regulation Law Journal on SEC Rulemaking and Significant Litigation for Q4 2024
#OlshanLaw #SecuritiesRegulation #SecuritiesLaw #CorporateLaw #Litigation

lnkd.in/eVy8mqNp

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Posts tagged #SecuritiesRegulation