Tag: SEC

Tax Code, Regulations and Guidance

The Not-So-Wild West of AI Regulation

December 26, 2023

Via: National Law Review

Over the past year, we have seen the various agencies and branches of government issue a slew of rules, guidance, and directives over the use (and misuse) of Artificial Intelligence (AI). In May, the EEOC issued guidance on the use […]

Business Law & Regulations, Finance

Former Coinbase Employees Arrested, Company Pushes Back on SEC’s Legal Argument

July 25, 2022

Via: Entrepreneur

The Securities and Exchange Commission on Thursday announced insider trading charges against former Coinbase employee Ishan Wahi, as well as his brother, Nikhil Wahi, and his friend, Sameer Ramani. Also on Thursday, the Department of Justice announced the unsealing of an indictment with charges for wire […]

Business Law & Regulations, Finance

Threshold List Definition

June 27, 2022

Via: Investopedia

Understanding Threshold Lists In January 2005, the SEC implemented Regulation SHO to reduce the abuse of naked short selling, where the seller does not borrow or arrange to borrow the securities in time to make delivery to the buyer within […]

Business Law & Regulations, Finance

Yield Definition

January 4, 2022

Via: Investopedia

What Is a Yield? Yield refers to the earnings generated and realized on an investment over a particular period of time. It’s expressed as a percentage based on the invested amount, current market value, or face value of the security. […]

Business Law & Regulations, Finance

Rolling Settlement Definition

May 13, 2021

Via: Investopedia

A rolling settlement is the process of settling security trades on successive dates based upon the specific date when the original trade was made so that trades executed today will have a settlement date one business day later than trades […]

Business Law & Regulations, Finance

Best-Price Rule (Rule 14D-10)

April 16, 2021

Via: Investopedia

Definition of Best-Price Rule (Rule 14D-10) Best-price rule (Rule 14D-10) is a regulation by the Securities and Exchange Commission (SEC) that stipulates that consideration offered to any security holder in a tender offer must be equal to the highest consideration […]

Business Law & Regulations, Finance, Tax Code, Regulations and Guidance

Congress Should Leave Proxy Advice Rule Review Up To SEC

February 10, 2021

Via: Law360

The newly minted Biden administration is expected to reverse course on a series of Trump-era rules, including from the U.S. Securities and Exchange Commission. The nomination of former Commodity Futures Trading Commission Chairman Gary Gensler to serve as the next […]

Financing your Business

Get Ready for the SEC’s New Crowdfunding Rules

March 18, 2016

Via: FindLaw

Mark May 16, 2016, on your calendar. That’s the day that U.S. securities law will experience one of the biggest changes since the Securities Act of 1933. On May 16th, the S.E.C.’s “Regulation Crowdfunding” final rules go into effect, allowing […]