Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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18 Mar 2009, 2:40 am
United States Securities and Exchange Commission v Manterfield Court of Appeal “A regulatory body in the United States seeking to enforce disgorgement of proceeds of alleged fraud could be granted a freezing order over assets in the United Kingdom. [read post]
28 Jun 2018, 6:00 am
In Lucia v Securities and Exchange Commission, the U.S. [read post]
3 Dec 2021, 12:37 pm
The post Securities And Exchange Commission Investigating GWG L Bonds appeared first on Securities Arbitration Lawyers Blog. [read post]
5 Apr 2022, 8:49 am
On 4 April 2022, the European Commission adopted a decision declaring that a number of United States (US) exchanges supervised by the US Securities Exchange Commission (SEC) are equivalent to EU regulated markets. [read post]
4 Aug 2020, 6:53 am
The post Securities And Exchange Commission Charges Par Funding, United Fidelis Group And Others In Half-Billion Dollar Fraud Scheme appeared first on Securities Arbitration Lawyers Blog. [read post]
24 Jul 2012, 12:36 pm
The United States Senate is introducing a bill with bipartisan support to try to increase the effectiveness of fines levied by the Securities and Exchange Commission (SEC). [read post]
29 Sep 2022, 2:03 pm
The Securities and Exchange Commission charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of a large amount of securities due to a failure to implement any internal control to track such transactions in real time. [read post]
18 Jan 2023, 12:15 pm
The Securities and Exchange Commission has filed a case against Covington & Burling, one of the largest law firms in the United States, seeking an Order of the Court to compell it to comply with an SEC investigative subpoena relating to a Russian cyber attack around November 2020. [read post]
3 Aug 2017, 6:06 am
The post Securities and Exchange Commission Addresses Virtual Currencies and Blockchain Technology appeared first on Private Business Counsel. [read post]
30 May 2021, 8:54 am
The Securities and Exchange Commission filed a lawsuit Friday in federal court in Manhattan alleging that five individuals promoted a global unregistered digital asset securities offering that raised over $2 billion from retail investors. [read post]
25 Sep 2019, 6:02 am
Securities and Exchange Commission. [read post]
3 Oct 2022, 7:08 am
Kardashian’s crypto asset security promotion occurred after the Commission warned in its July 25, 2017, DAO Report of Investigation that digital tokens or coins offered andsold may be securities, and those who offer and sell securities in the United States must complywith the federal securities laws, the Order says. [read post]
10 Dec 2021, 10:00 am
After the Securities and Exchange Commission (SEC) amended its “accredited investor” definition in August 2020, it amended its rules once again in November of the same year. [read post]
16 Dec 2022, 11:34 am
The Securities and Exchange Commission today announced fraud charges against Lawrence Billimek, an employee of a major asset management firm with securities portfolios worth billions of dollars, and Alan Williams, who previously worked at several financial industry firms, for perpetrating a multi-year front-running scheme that generated at least $47 million in illegal trading profits. [read post]
8 Nov 2021, 1:38 pm
The Securities and Exchange Commission today charged United States Oil Fund LP, an exchange-traded product (ETP), and its general partner United States Commodity Funds LLC for misleading statements about limitations imposed by its sole futures commission…Read the Full Press ReleaseHave a securities law question? [read post]
6 Jul 2020, 5:51 am
The Security Exchange Act of 1934 ( “the Act”) is the most expansive secondary market regulation enacted in the history of the United States. [read post]
1 Dec 2022, 8:25 am
The post Cyberattacks- when must publicly traded companies report them to the Securities and Exchange Commission and other agencies? [read post]
8 Nov 2021, 1:38 pm
The Securities and Exchange Commission today charged United States Oil Fund LP, an exchange-traded product (ETP), and its general partner United States Commodity Funds LLC for misleading statements about limitations imposed by its sole futures commission…Read the Full Press ReleaseHave a securities law question? [read post]
9 Mar 2023, 1:46 pm
The SEC appreciates the assistance of the Federal Trade Commission and the Offices of the Attorneys General for the States of Indiana and Vermont. [read post]
19 Mar 2024, 10:00 pm
” Whether a digital asset exchange may offer digital assets for secondary trading without those digital assets being registered as securities and operate in the United States without being registered with the US Securities and Exchange Commission as a securities exchange, clearing agency, or broker is being litigated in courts across the country and likely will be litigated for years to come. [read post]
