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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]
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]
9 Sep 2020, 1:48 pm
Barred Ohio Stockbroker Accused of Over 500 Unsuitable Exchange Traded Fund Transactions Dominic Anthony Tropiano, a former registered broker in Ohio, is now facing US Securities and Exchange Commission (SEC) fraud charges. [read post]
6 Feb 2015, 1:46 pm
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recently released its annual examination priorities. [read post]
6 Feb 2015, 1:46 pm
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recently released its annual examination priorities. [read post]
2 Apr 2019, 6:08 am
Securities and Exchange Commission (“SEC”). [2] In addition, the Advisory builds upon and incorporates the CFTC’s January 2017 and September 2017 Enforcement Advisories, which promised meaningful reductions in penalties where a company or individual self-reports, fully cooperates, and takes remedial measures (see our January 2017 and September 2017 client briefings). [read post]
23 Nov 2020, 6:31 am
(“IMVU”) received no-action relief from the Securities and Exchange Commission (the “SEC”) confirming that the Division of Corporate Finance will not recommend enforcement action against IMVU for selling its digital asset, VCOIN. [read post]
27 Aug 2008, 6:40 pm
The Securities and Exchange Commission moved Wednesday to allow some large American companies to begin using international accounting standards as early as next year, and to require all American companies to do so by 2016. [read post]
12 Mar 2007, 12:04 pm
[JURIST] The US Securities and Exchange Commission (SEC) [official website] filed fraud charges [press release] Monday against former executives of Canadian telecommunications manufacturer Nortel Networks [corporate website; JURIST news archive], accusing the corporation of misleading investors. [read post]
23 Sep 2022, 7:47 am
On September 15, 2022, the Department of Justice (DOJ) and the United States Securities and Exchange Commission (SEC) announced that GOL Linhas Aéreas Inteligentes S.A. [read post]
8 Mar 2019, 9:44 am
Brokerage firm and investment adviser BB&T Securities has agreed to give back over $5M to retail investors, as well as pay the US Securities and Exchange Commission (SEC) a $500K penalty, to resolve charges that Valley Forge Asset Management misled advisory clients into thinking they were getting complete “full-service brokerage services in-house” at an up to 70% reduced rate, even as less costly alternatives were available. [read post]
17 Dec 2010, 5:53 am
Sawyers (andquot;Sawyersandquot;), former employees of Wachovia Securities, L.L.C., now known as Wells Fargo Advisors, were charged on December 15, 2010 by theandnbsp;United States Securities and Exchange Commission with securities fraud. [read post]
16 Sep 2009, 4:00 am
In short, the model used by the NYSE and Nasdaq where they have the exclusive authority to decide listing issues (but see Rule 10A-3 and possible Commission authority to delist if the exchanges do not enforce their audit committee rules) is not necessarily the only model employed by stock exchanges globally. [read post]
23 Oct 2009, 10:29 am
Securities America, a subsidiary of Ameriprise Financial, is becoming the target of more investor claims filed with the Financial Industry Regulatory Authority (FINRA) over allegations it falsely misrepresented private placement offerings associated with Medical Capital Holdings - the same company that the Securities and Exchange Commission (SEC) has charged in a $2 billion Ponzi scheme. [read post]
2 Feb 2012, 8:11 am
After the financial crisis in 2008, there has been increasing government scrutiny on hedge fund fraud in the US markets. [read post]
24 Apr 2018, 8:08 am
Securities and Exchange Commission [transcript, PDF] the court heard arguments on whether administrative law judges of the Securities and Exchange Commission (SEC) [official website] are officers of the United States within the meaning of the Appointments Clause [art. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
