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9 Aug 2021, 12:27 pm
The Securities and Exchange Commission today announced that Poloniex LLC has agreed to pay more than $10 million to settle charges for operating an unregistered online digital asset exchange in connection with its operation of a trading platform that facilitated buying and selling of digital asset securities. [read post]
2 Feb 2010, 2:55 am
David Chidester resigned Jan. 20 amid an ongoing investigation of Overstock by the Securities and Exchange Commission and one day after an unflattering article about CEO Patrick Byrne appeared in The Big Money, a business Web site by the editors of Slate. [read post]
1 May 2023, 6:34 am
On April 14, 2023, by a 3-2 party-line vote the US Securities and Exchange Commission (SEC) reopened the public comment period and provided supplemental information on amendments proposed in January 2022 to the definition of “exchange” under Rule 3b-16. [read post]
16 Feb 2023, 8:45 am
The post Lawfirm opposes Security and Exchange Commission subpoena for firm’s client data for SEC’s investigation of Cyber Attack on the firm appeared first on Newman & Shapiro. [read post]
16 Feb 2023, 8:45 am
The post Lawfirm opposes Security and Exchange Commission subpoena for firm’s client data for SEC’s investigation of Cyber Attack on the firm appeared first on Jeff Newman Law. [read post]
THE BEATINGS WILL CONTINUE until the market improves. “The US Securities and Exchange Commission ha…
26 Aug 2010, 6:17 pm
“The US Securities and Exchange Commission has vowed to bring more high-profile enforcement actions against Wall Street over the financial crisis. [read post]
15 Aug 2022, 7:53 am
The post AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors appeared first on Experienced Investor Advocates. [read post]
15 Aug 2022, 7:53 am
The post AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors appeared first on Experienced Investor Advocates. [read post]
15 Aug 2022, 7:53 am
The post AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors appeared first on Experienced Investor Advocates. [read post]
17 Nov 2022, 12:25 pm
The United States Securities and Exchange Commission Office of Investor Education has recommended that all investors check their accounts to determine whether financial information or assets have been stolen. [read post]
14 Dec 2009, 12:57 am
To the Securities and Exchange Commission: Last week Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
15 Jun 2010, 3:52 pm
In Securities & Exchange Commission v. [read post]
26 Jun 2020, 4:30 pm
June 16, 2020), the United States Court of Appeals for the District of Columbia Circuit invalidated the Securities and Exchange Commission’s (“SEC”) experimental transaction fee pilot program to study the market effects of broker-dealer incentive programs used by domestic stock exchanges. [read post]
16 Oct 2008, 7:04 pm
This month, the US Securities and Exchange Commission filed a civil lawsuit against five World Group Securities brokers for allegedly pushing investors into refinancing their homes with subprime mortgages. [read post]
7 May 2019, 10:55 am
To date, however, no cryptocurrency exchange has been registered with the Securities and Exchange Commission (SEC) as an exchange. [read post]
18 Sep 2009, 8:00 am
There is little or no residual role for regulators such as the Securities and Exchange Commission, although Rule 10A-3 arguably provides some room for Agency influence and enforcement. [read post]
7 Sep 2023, 5:55 am
Circuit Court found that the SEC exceeded its statutory authority when it ordered the national securities exchanges and FINRA to come up with a consolidated plan for market data that included non-SRO representatives.The exchanges lost their other two arguments for why the consolidated plan was invalid, but the D.C. [read post]
10 May 2007, 5:15 am
We are examining the role of the Securities and Exchange Commission in the governance process. [read post]
22 Mar 2023, 8:05 am
The Securities and Exchange Commission today proposed amendments designed to modernize its information collection and analysis methods by, among other things, proposing that a number of filings be submitted to the Commission electronically on EDGAR using…Read the Full Press ReleaseHave a securities law question? [read post]
28 Jun 2022, 7:18 am
HE CAN BE REACHED AT 617-823-3217 OR AT JNEWMAN@NEWMNSHAPIRO.COM The post Securities and Exchange Commission charges Ernst and Young for cheating by its audit professionals on CPA exams and withholding information from SEC’s Enforcement Division during the investigation. [read post]
