Search for: "U. S. Securities and Exchange Commission"
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10 Jun 2011, 8:38 am
The Securities and Exchange Commission’s warning urged investors to be careful in transactions with reverse merger companies due to “instances of fraud and other abuses” that have resulted in investor losses. [read post]
26 Aug 2021, 4:42 pm
The Department of the Treasury, the Securities and Exchange Commission (SEC), and the Federal Reserve have each announced new steps: The Treasury’s announcement coversa range of issues including public spending, macroeconomic effects, and international cooperation. [read post]
2 Mar 2016, 12:00 pm
Securities and Exchange Commission (“SEC” or the “Commission”) ruled that Former Neuberger Berman Analyst Sandeep “Sandy” Goyal, whom the SEC previously barred from the securities industry after he pled guilty to insider trading, could participate in the industry again. [read post]
13 Jul 2015, 3:18 pm
Securities and Exchange Commission, and the U.S. [read post]
15 Jan 2013, 5:30 am
Securities and Exchange Commission, No. 11-1274, concerning when the clock begins to run on the five-year statute of limitations for civil penalty claims by the SEC and other federal agencies. [read post]
16 Aug 2022, 11:47 am
The United States Securities Exchange Commission (SEC) recently issued a Staff Bulletin which discussed the use of sales contests or other sales incentives by FINRA Broker-Dealer firms in the context of SEC Regulation Best Interest (Reg BI). [read post]
16 Jan 2013, 6:13 am
In the U.S., Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), enacted on July 21, 2010, provides for the regulation of the swaps market and grants to the Commodity Futures Trading Commission (the “CFTC”) and the Securities and Exchange Commission (the “SEC,” and with the CFTC, each a “Commission” and together, the “Commissions”) broad… [read post]
24 Apr 2024, 6:30 am
P., 601 U.S. ___, 2024 WL 1588706 (2024), that a violation of Securities and Exchange Commission Item 303—which requires public companies to disclose “known trends or uncertainties” that could impact their income— cannot, in the absence of an otherwise misleading statement, support a private lawsuit brought under SEC Rule 10b-5(b), a regulation that implements Section 10(b) of the Securities Exchange Act of 1934. [read post]
24 Apr 2024, 6:30 am
P., 601 U.S. ___, 2024 WL 1588706 (2024), that a violation of Securities and Exchange Commission Item 303—which requires public companies to disclose “known trends or uncertainties” that could impact their income— cannot, in the absence of an otherwise misleading statement, support a private lawsuit brought under SEC Rule 10b-5(b), a regulation that implements Section 10(b) of the Securities Exchange Act of 1934. [read post]
9 Jan 2019, 6:30 am
Securities and Exchange Commission (SEC), one of nine federal agencies affected, recently published its Operations Plan Under a Lapse in Appropriations and Government Shutdown (sec.gov/files/sec-plan-of-operations-during-lapse-in-appropriations-2018.pdf), which went into effect on December 27, 2018. [read post]
12 Sep 2023, 9:01 pm
We’re focused on getting things right—based upon the economics, the Commission’s legal authorities, and promoting the SEC’s mission—not the clock. [read post]
27 Dec 2013, 12:14 pm
According to the Securities and Exchange Commission’s website, the SEC recently announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Ronald Gene Anglin (Anglin), a resident of Canyon Country, California. [read post]
25 Jul 2022, 9:01 pm
Securities and Exchange Commission (“SEC” or the “Commission”). [read post]
25 Jan 2013, 8:31 am
U. [read post]
2 Nov 2009, 6:14 pm
The US Securities and Exchange Commission says it will investigate allegations that former Ferris, Baker Watts Inc. general counsel Theodore W. [read post]
13 Feb 2023, 9:05 pm
Securities and Exchange Commission (SEC) in the 1930s. [read post]
11 Nov 2011, 3:48 pm
Less than a month after UBS Securities, LLC agreed to pay $12M to settle Financial Industry Regulatory Authority claims of supervisory failures and violating regulation SHO in securities short sales, the broker-dealer has now consented to an $8M penalty to settle Securities and Exchange Commission charges over poor recordkeeping related to the short sales. [read post]
14 Apr 2021, 6:00 am
Securities and Exchange Commission (SEC), in the first two months of President Joseph Biden’s administration, has begun analyzing whether current disclosures by such companies adequately inform investors about the impacts of the changing climate. [read post]
23 May 2013, 6:18 am
Securities and Exchange Commission (SEC) temporarily banned most short sales in nearly 1,000 financial stocks. [read post]
24 Feb 2012, 3:24 pm
Court of Appeals for the Second Circuit says that the Securities and Exchange Commission did not abuse its discretion when it determined that broker Scott Mathis “willfully” withheld information from the Financial Industry Regulatory Authority about tax liens. [read post]
