Search for: "US Securities and Exchange Commission" Results 221 - 240 of 14,129
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
U.S. Securities and Exchange Commission: “It’s more fun to file trademark oppositions than to catch crooks, so we’ll do that instead.”
30 May 2010, 2:50 pm by Morris Turek
Securities and Exchange Commission (SEC). [read post]
The Trademark Blogger - http://yourtrademarkattorney.com/blog
SEC Files Securities Fraud Lawsuit Against Southern California Wealth Manager
7 Apr 2011, 3:15 pm
Today, the Securities and Exchange Commission (SEC) announced the filing of a civil securities fraud lawsuit against Southern California wealth advisory firm MAM Wealth Management, LLC (MAM), MAMW Real Estate General Partner, LLC (MAMW), Alex Martinez and Ralph Sanchez. [read post]
California Securities Fraud Lawyer Blog - http://www.californiasecuritiesfraudlawyerblog.com/
Reviewing Asset-Backed Securities – Investors Deserve Better
13 Nov 2010, 6:16 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
43rd Annual Rocky Mountain Securities Conference Coverage: Investor Advocacy, Capital Formation and Small Business Development: A Regulatory Approach
9 May 2011, 8:00 am by Michael Silverman
The first presentation of the 43rd Annual Rocky Mountain Securities Conference was a presentation by Commissioner Troy Paredes of the Securities and Exchange Commission. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
Open Letter to the Securities and Exchange Commission (Part 4): Patrick Byrne Ignores Real Issues As He Vilifies Grant Thornton
26 Nov 2009, 7:15 pm by Sam E. Antar
Updated for two additional notes to the SEC at bottom of post To the Securities and Exchange Commission: Recently, Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
White Collar Fraud - http://whitecollarfraud.blogspot.com/
US SEC Aims to Add Mutual Funds to XBRL Project (Reuters) | Wall Street & Technology :
2 Feb 2007, 12:33 am
Data on the risks and returns of individual mutual funds would be available in a new, interactive electronic format with the potential to help investors make better decisions, under a proposal made Wednesday by the Securities and Exchange Commission. [read post]
Information Governance Engagement Area - http://infogovernance.blogspot.com/
15 U.S.C. § 78dd—Foreign Securities Exchanges And The Federal Private Securities Litigation Reform Act (PSLRA) Governing Individual And Class Action Lawsuits For Securities Fraud
22 Jul 2007, 11:06 am
Congress addressed foreign securities exchanges under the PSLRA in 15 U.S.C. [read post]
Class Action Defense Blog - http://classactiondefense.jmbm.com/
Broker Allegedly Illegally Sold Over $23M in Woodbridge Securities
22 May 2019, 9:02 am by ccollins
The US Securities and Exchange Commission (SEC) has filed civil charges against Charles Nilosek for acting as an unregistered broker and illegally selling Woodbridge securities to retail investors. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
When is an NFT a “Security” And Why You Should Care
8 Sep 2021, 6:54 am by Chris Castle
Securities and Exchange Commission. [read post]
Music - Technology - Policy - http://www.musictechpolicy.com/
Securities fraud charge for barred Irvine advisor
31 Jan 2018, 4:00 am by eileen peck
The Securities and Exchange Commission barred the man after he failed to respond to their inquiries. [read post]
Robert M. Helfend Blog - http://www.robertmhelfend.com/blog/
SEC Staff Issues Report on the Cross-Border Scope of Private Rights of Action for Securities Fraud
9 May 2012, 7:00 am
The staff of the Securities and Exchange Commission (“SEC”) recently released a study on the cross-border scope of the private right of action under Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”), 15 U.S.C. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
New Rules for Mandatory Trading Suspension of US-Listed Chinese Companies
8 Jan 2022, 7:10 am
On December 2, 2021, the US Securities and Exchange Commission (SEC) issued new rules which further implement requirements and clarified the timing related to the potential mandatory trading suspension of Chinese companies listed on US stock exchanges beginning in 2024. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Charges Middlesex Mortgage Group and Masanotti with Running $5.9 Million Ponzi Scheme The U.S. Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. Masanotti, Jr. (“Masanotti” of Darien, Connecticut and his company, Middlesex Mortgage Group LLC (“MMG”), with fraud in connection with investments that MMC induced from outside investors, totaling least $5.9 million, beginning in 2016. Many of the MMG investors allegedly liquidated securities they held in retirement accounts to invest in the fund. The SEC Complaint is accessible here. According to the SEC. MMC and Masanotti allegedly used investor money to make Ponzi-like payments to investors and also used some investor funds for Masanotti’s “extravagant personal expenses,” According to the SEC, Masanotti told investors that MMC would invest their money in foreign currencies, securities and initial public offerings, but in fact MMC appears to have made no investments on their behalf. After receiving their initial payments, Masanotti continued to deceive investors to perpetuate the investment scheme, including via payments that purported to be returns on capital invested, the SEC said. Over the course of the scheme, Masanotti allegedly used more than $3 million of Middlesex’s assets for his and his family’s personal benefit, according to the suit. The SEC accuses Masanotti of violating the Securities Act and the Exchange Act. A Ponzi scheme is a purported investment vehicle in which early investors in the scheme are paid funds from later investors, thus creating the illusion of legitimacy and solvency. Ponzi schemes are often doomed to failure once the perpetrator of the scheme can no longer pay out investors through newly raised money. Some warning signs that every investor should remain mindful of when vetting a potential investment and conducting due diligence include the promise of high returns with guarantees of little or no risk; overly consistent returns with little or no volatility in the in
14 Nov 2023, 4:30 pm by InvestorLawyers
Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. [read post]
Investor Lawyers Blog - https://www.investorlawyers.net/blog/
Securities Law Developments– an Introduction
26 Apr 2021, 9:53 am by Stephen Honig
The political currents that have roiled US society often are echoed in the policy choices made by the Securities and Exchange Commission. [read post]
The Law and other Anomalies - http://stephenhoniglawblog.com/
SEC SUES PSYCHIC FOR SECURITIES FRAUD
4 Mar 2010, 5:17 pm by Jay Eng
On March 4, 2010, the Securities and Exchange Commission filed a complaint against a purported psychic who fraudulently raised $6 million after telling investors he could predict stock market highs and lows. [read post]
Securities Attorneys Law Blog - http://securitiesattorneys.us/
IOSCO Consultation Report ‘Evolution in the Operation, Governance and Business Models of Exchanges: Regulatory Implications and Good Practices’
8 Apr 2024, 8:23 am by Anita Edwards and Simon Lovegrove (UK)
On 4 April 2024, the International Organisation for Securities Commissions (IOSCO) published a Consultation Report titled Evolution in the Operation, Governance and Business Models of Exchanges: Regulatory Implications and Good Practices. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
SEC Adopts Rule Amendments to Electronic Recordkeeping Requirements
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
Up & Atom - https://www.morganlewis.com/blogs/upandatom
SEC Adopts Rule Amendments to Electronic Recordkeeping Requirements
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
Tech & Sourcing @ Morgan Lewis - https://www.morganlewis.com/blogs/sourcingatmorganlewis
SEC Adopts Rule Amendments to Electronic Recordkeeping Requirements
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
As Prescribed - https://www.morganlewis.com/blogs/asprescribed
SEC Adopts Rule Amendments to Electronic Recordkeeping Requirements
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
Power & Pipes - https://www.morganlewis.com/blogs/powerandpipes