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Loyalist Exploration Limited Announces Amendments to its Proposed Private Placement

, - - Loyalist Exploration Ltd. announces that it has amended its proposed non-brokered private placement financing of up to 15,000,000 common shares of the Company at a price of $0.01 per Share for proceeds of up to $150,000 . The Offering is... - Veroeffentlicht am 19.04.2024

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New T+1 Settlement Cycle Takes Effect May 28th - Securities

The SEC's new rules imposing a T + 1 settlement cycle for most securities transactions take effect on May 28, 2024. The previous default settlement cycle had been T + 2.

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G2 Goldfields insiders going for gold in Guyana

Five add to holdings

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Investment Management Legal And Regulatory Update - April 2024 - Financial Services

The SEC announced on February 28, 2024 that William Birdthistle, the Director of the Division of Investment Management, would leave the SEC effective March 8, 2024...

Chicago , Illinois , United-states , William-birdthistle , Natasha-vij-greiner , James-madison-university , Division-of-investment , Money-laundering-program , Catholic-university-of-america , Financial-crimes-enforcement-network-fin , Chicago-regional-office , Division-of-examinations

Securities And Exchange Commission Brings First Enforcement Actions Over

On March 18, 2024 the SEC announced that it had settled charges in separate actions against two investment advisers, Delphia (USA) Inc. and Global Predictions, Inc. for making false or misleading statements regarding their use of AI.

Toronto , Ontario , Canada , United-states , Exchange-commission , Program-on-corporate-compliance , Division-of-examinations , Division-of-enforcement , Delphia-united-states-inc , Global-predictions , Investment-advisers-act

CNN News Central

a bunch of law enforcement headquarters and offices anyway. and then of course for the child securities, even further beefed up. so i think and hope that the jurors should not take anything away from it. certainly at this point. and i'm sure that the court staff will do whatever they feel needs to be done. if there does need to be an increase paula, i want to come back to you as we await the next step in all of this, which is this hearing where they're going to go through trump's criminal history and decide what they can talk about if he decides to testify when you're talking to trump allies and if you're his defense team, what are they hoping to get out of this? >> i know that there is the thought that that he actually may well testify. >> yeah. they believe that he has learned lessons. >> he's been through multiple civil trials just in the past here, about about a block away from where they are now, they believed that he saw what worked there. he saw it, didn't work for him there. and that he would be prepared to take the stand in a way that would be constructive for his case. now, we'll see how that

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Seventh Circuit Applies Safe Harbor To Private Securities Transaction - Insolvency/Bankruptcy

In his latest article for The Bankruptcy Strategist titled, "Seventh Circuit Applies Safe Harbor to Private Securities Transaction," Schulte Roth & Zabel of counsel Michael L. Cook discusses ...

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SEC Fines Adviser For Off-Channel Communications - Securities

On 3 April 2024 the SEC announced the first off-channel communications settlement with a registered investment adviser who was not otherwise affiliated with a broker-dealer.

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Expansion Of Insider Trading Enforcement: The Case Of 'Shadow Trading' - Securities

In a landmark case, a jury has found a biotech executive guilty of insider trading for betting on a competitor's stock, leveraging confidential information from his own company.

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SEC Announces First Off-Channel Communications Enforcement Action Against A Standalone Private Fund Manager - Securities

On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced its first enforcement action against a registered investment adviser (RIA) with no ties to a broker-dealer regarding so-called "off-channel" communications.

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