Reynolds Holding
OCTOBER 2, 2023
A while ago, the National Center for Public Policy Research – a conservative organization that focuses its advocacy in the corporate and securities space – filed a lawsuit against Starbucks , arguing that its diversity equity and inclusion program ran afoul of Title VII of the Civil Rights Act of 1964, and Section 1981.
Reynolds Holding
NOVEMBER 30, 2023
On November 21, 2023, the staff of the Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance issued eight new Compliance & Disclosure Interpretations (C&DIs), and revised two previously issued C&DIs, relating to the final pay-versus-performance (PVP) disclosure rules adopted last year. Answer: No.
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Reynolds Holding
NOVEMBER 28, 2022
Although FINRA states that its Regulatory Notice does not create new legal or regulatory requirements or new interpretations of existing requirements, it squarely places the obligation to battle such schemes on underwriters as “gatekeepers to the public markets.” broker-dealers to the U.S.
Reynolds Holding
APRIL 4, 2022
It’s at the core of what makes markets work. ATSs for the equity and fixed income markets, though, are generally used by institutional investors. 6] The settlement made clear that crypto markets must comply with time-tested securities laws, such as the Securities Act of 1933 and the Investment Company Act of 1940.
Reynolds Holding
JANUARY 23, 2024
After a decades-long history of alleged “reckless” and “unsound” practices, including the opening of millions of fake accounts, federal regulators imposed punitive consent orders on Wells Fargo, requiring a compliance and corporate oversight overhaul. in August 2019, wiping out about $36 billion in market capitalization.
Reynolds Holding
JANUARY 9, 2023
Allegations relate to the financial crisis from over a decade ago where a number of financial institutions – including Deutsche Bank Securities, RBS Securities, and Wachovia Capital Markets – misled investors within offering documents on various securities issued by NovaStar. Granite Construction. The only top U.S.
Reynolds Holding
NOVEMBER 15, 2022
We expect compliance.”. A hallmark of the Enforcement Program in fiscal year 2022 was robust enforcement through resolutions that imposed penalties designed to deter future violations, establish accountability from major institutions, and order tailored undertakings that provide potential roadmaps for compliance by other firms.
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