@CadyEducation

Creating cartoons for compliance training and to simplify complex legal concepts. [email protected] https://xitter.cf/t.co/KhzRnivtb0

 Raleigh, NC
Joined June 2011
  • Tweets3.9K
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  • Followers847
56Media
Look, we don't do a lot of options trading around here, but sometimes we have to *look like we know* about stock options. If that's you, too, give this a look: youtu.be/2H3kMahWhBk

What Are Stock Options? Vol. 1 (Call Options)

Enjoy the videos and music you love, upload original content, and share it all with friends, family, and the world on YouTube.

youtube.com
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Since we still sort of have insider trading around here, if you're going to do it you may as well not do it in the dumbest possible way. What is that way? Well, we have a video that will explain in under four minutes: youtu.be/Y0OAMSSWjMs?si=4QOV…

The Dumbest Way to Do Insider Trading

Enjoy the videos and music you love, upload original content, and share it all with friends, family, and the world on YouTube.

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If you're hoping for some normalcy at the SEC, I don't know how much this means, but it's not a bad sign that Sam Waldon was just made the Acting Enforcement Director: bit.ly/3E6Vr3z

Acting Chairman Mark T. Uyeda Names Acting Senior Staff

sec.gov
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SEC Finally Gets around to Filing Very Easy Case against Elon Musk bit.ly/42kEY65

SEC Finally Gets around to Filing Very Easy Case against Elon Musk — Cady Education

Though it already feels like a lifetime ago, just last week the SEC sued Elon Musk for failing to make some disclosures connected to his acquisition of Twitter in 2022. For now, let’s skip (1) the...

cadyeducation.com
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Silver Point Capital's Not-So-Great Wall bit.ly/4jlWQTY
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SEC cranks out one more off-channel case for old time's sake: bit.ly/4gWnGAO

Twelve Firms to Pay More Than $63 Million Combined to Settle SEC’s Charges for Recordkeeping...

sec.gov
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Cherry on Top, Clients on Bottom: bit.ly/3DNDeYZ

Cherry on Top, Clients on Bottom — Cady Education

Investment adviser cherry-picking cases sort of sit on a spectrum. Sometimes the SEC sues a firm for cherry picking but describes it as a “compliance failure” and settles to non-scienter-based...

cadyeducation.com
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What Will Paul Atkins Do with the SEC's Formal Order Authority? bit.ly/4gEbeoK

What Will Paul Atkins Do with the SEC’s Formal Order Authority? — Cady Education

John Stark has written a fairly comprehensive outline on X of what the SEC might look like under incoming Chair Paul Atkins. If you want some ideas about how it’s going to go, you should read it. He...

cadyeducation.com
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The S.D.N.Y. Gets Mad about AI Music bit.ly/4eJ7PDz

The S.D.N.Y. Gets Mad about AI Music — Cady Education

Till now, the AI enforcement cases have been mostly (entirely?) AI washing or misrepresention cases. A company says all the great things they’re doing with artificial intelligence, but they’re not...

cadyeducation.com
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This is interesting.
Jori Lallo
@jorilallo17 Nov 2024
Didn’t expect Ben Affleck to have the most articulate and realistic explanation where video models and Hollywood is going
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Do Not Entrust Your Child or Mental Health to This Robot bit.ly/4hSSgfg

Do Not Entrust Your Child or Mental Health to This Robot — Cady Education

I mean, if Megi Kavtaradze had been telling the truth it would have been pretty cool. Her company, Destiny Robotics, is an AI and robotics company that claimed it was developing a “socially intelli...

cadyeducation.com
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If you want to read something awesome that isn't about the election, check out the SCCE blog from this morning: bit.ly/4fC44AE

Atom Investors Goes Above and Beyond to Get Cooperation Credit - The Compliance and Ethics Blog

by David Smyth, President, CadyEducation The SEC and its senior staff frequently encourage companies to cooperate with SEC investigations. That is not big news, and in its 2001 Seaboard Report, the...

complianceandethics.org
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A surprising number of Kamala signs in rural Carteret County, NC
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SEC Starts New Cybersecurity Practice Area bit.ly/40iREcs

The Next Wave of SolarWinds: Avaya Holdings Corp. — Cady Education

In 2020, a Texas-based company called SolarWinds made a software update available to its customers. Hackers directed by a Russian intelligence service used that routine software update to slip in...

cadyeducation.com
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A Conversation I Had with My Daughter One Time youtu.be/a4taM7MwwIs
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Moog Stumbles into Some FCPA Problems in India bit.ly/3BNRU9m

Moog Stumbles into Some FCPA Problems in India — Cady Education

Moog Inc. makes technology for the aerospace and defense markets. It’s headquartered in East Aurora, New York, but has operations in 26 countries, including a wholly owned Indian subsidiary, Moog...

cadyeducation.com
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Artificial Intelligence Fraud Is Sometimes Like Every Other Kind of Securities Fraud bit.ly/3NoPcto

Artificial Intelligence Fraud Is Sometimes Like Every Other Kind of Securities Fraud — Cady...

Remember crowdfunding? Does anybody do that anymore? I remember having a conversation about it when it was a new securities thing and saying, “Of course, people will do fraud with it.” And my...

cadyeducation.com
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SEC Says Just File Your Form 4s on Time bit.ly/4eWIgiS

SEC Says Just File Your Form 4s on Time — Cady Education

Looked at in one way, we have two kinds of insider trading. One is the kind most people think of when you say “insider trading”: a person learns material, nonpublic information about a company and...

cadyeducation.com
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You better straighten up your act! youtu.be/D_ZkTkGEPws

A Thing Your Teachers Always Said in Elementary School

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27
SEC Says the Bonds of Friendship Mean Nothing in the Face of Corporate Director Independence Requirements bit.ly/3Ne2dGf

SEC Says the Bonds of Friendship Mean Nothing in the Face of Corporate Director Independence...

The rules on corporate director independence are great for corporate governance lawyers, which is to say you can’t find them all in one place and they’re a little messy. Some sources are (1) NYSE and...

cadyeducation.com
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