SEC Charges Gol Intelligent Airlines, Brazil’s Second Largest Airline, with FCPA Violations
The Securities and Exchange Commission today charged Brazil’s second largest domestic airline, GOL Linhas Aéreas Inteligentes, for violating the Foreign Corrupt Practices Act (FCPA). The São Paulo-based company, also known as Gol Intelligent Airlines,…
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https://seclaw.blogspot.com/2022/09/sec-charges-gol-intelligent-airlines.html
The Securities and Exchange Commission today charged Brazil’s second largest domestic airline, GOL Linhas Aéreas Inteligentes, for violating the Foreign Corrupt Practices Act (FCPA). The São Paulo-based company, also known as Gol Intelligent Airlines,…
SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule
The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. The action marks the first time the SEC has charged a broker-dealer for…
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https://seclaw.blogspot.com/2022/09/sec-charges-loop-capital-markets-in.html
The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. The action marks the first time the SEC has charged a broker-dealer for…
TIPS vs. The Stock Market: Comparing Historic Returns In Times Of High Inflation
TIPS, or Treasury Inflation-Protected Securities, offer investors a way to invest in fixed-income securities without the risk of losing out to inflation. But are they a superior investment to stocks? Here’s how TIPS compare to stocks over the long term.
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SEC Proposes Rules to Improve Risk Management in Clearance and Settlement and to Facilitate Additional Central Clearing for the U.S. Treasury Market
The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury securities transactions. The…
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https://seclaw.blogspot.com/2022/09/sec-proposes-rules-to-improve-risk.html
The Securities and Exchange Commission today charged VMware Inc. for misleading investors about its order backlog management practices, which enabled the Palo Alto, California-based technology company to push revenue into future quarters by delaying…
SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law
The Securities and Exchange Commission today filed a litigated action against Oppenheimer & Co. Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms…
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https://seclaw.blogspot.com/2022/09/sec-charges-four-underwriters-in-first.html
The Securities and Exchange Commission today filed a litigated action against Oppenheimer & Co. Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms…
SEC Charges Hudson Advisors and Lone Star Global for Failing to Disclose that Fund Fees Included More Than $50 Million of Owner’s Income Tax Liability
The Securities and Exchange Commission announced charges today against registered investment advisers Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. for including Hudson’s owner’s anticipated income tax liability as a component of certain…
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https://seclaw.blogspot.com/2022/09/sec-charges-hudson-advisors-and-lone.html
