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30 May 2018, 7:00 am
In this alert, we chronicled developments at the Securities and Exchange Commission, Commodity Futures Trading Commission, state securities regulators and others. [read post]
10 Nov 2021, 10:15 am
The Securities and Exchange Commission today announced awards of more than $12.5 million and $2.5 million to two whistleblowers whose information and assistance led to a successful SEC enforcement action. [read post]
8 Jul 2009, 1:49 pm
According to an article in the May/June issue of The Pomerantz Monitor, it has long been recognized that private enforcement is a necessary supplement to the enforcement capabilities of the Securities and Exchange Commission ("SEC"). [read post]
25 Feb 2015, 6:02 am
Securities and Exchange Commission. [read post]
7 Apr 2011, 6:00 am
Securities and Exchange Commission (SEC) approved a revised Discovery Guide applicable to FINRA securities arbitration customer cases on Friday. [read post]
5 Mar 2013, 8:54 am
Securities Exchange Commission (Feb. 27, 2013) rejects an attempt by the Securities and Exchange Commission to extend a statute of limitations by invoking a “discovery rule. [read post]
24 Mar 2010, 8:55 pm
Charles Schwab Corp. doesn’t want the Securities and Exchange Commission to file securities claims over the YieldPlus mutual fund. [read post]
30 Jul 2024, 12:04 pm
The Securities and Exchange Commission charged Nader Al-Naji with perpetrating a multi-million-dollar fraudulent crypto asset scheme involving a social media platform called BitClout and its native token of the same name (herein, “BTCLT”). [read post]
23 Sep 2009, 7:01 am
Regions Bank has agreed to pay a $1 million penalty to settle a Securities and Exchange Commission complaint that it played a role in a long-term investment fraud that charged huge hidden fees and sales commissions to thousands of unwitting Latin American investors. [read post]
14 May 2014, 7:57 am
Securities and Exchange Commission (SEC) recently provided guidance on applying its rules regarding communications in connection with securities offerings, tender offers, business combinations and proxy contests when statements are made utilizing certain social media channels. [read post]
16 Sep 2011, 8:18 am
The SEC is seeking the remedies of civil money penalties pursuant to Section 20(d) of the Securities Act and 21(d)(3) of Exchange Act, as well as disgorgement of any ill-gotten gains. [read post]
28 Jul 2009, 12:04 pm
Securities and Exchange Commission yesterday announced that it is taking further steps in an attempt to curtail abusive "naked" short selling in equity securities and improve transparency respecting short sales generally. [read post]
15 Aug 2012, 9:57 pm
Penneco Drilling Associates is, according to its Form D filing with the Securities and Exchange Commission, an oil and gas development company. [read post]
12 Mar 2008, 1:11 am
(“FSAH”) received subpoenas from the Securities and Exchange Commission and the Antitrust Division of the U.S. [read post]
28 Feb 2007, 12:00 pm
Securities and Exchange Commission. [read post]
23 May 2019, 6:17 am
Securities and Exchange Commission. [read post]
18 Feb 2014, 10:57 am
Though investors might have assumed that the entire Securities and Exchange Commission was their advocate to begin with, on February 12th the agency announced that it had hired Rick Fleming to be its very first Investor Advocate in the recently created Office of the Investor Advocate (“OIA”). [read post]
27 Mar 2019, 6:39 am
On February 19, 2019, the Securities and Exchange Commission (SEC) approved a proposed rule that, if enacted, would permit all issuers to use “test-the-waters” communications (TTW communications). [read post]
28 May 2009, 4:00 am
On May 14, the Securities Exchange Commission said they were proposing New Custody Rules for Investment Advisers. [read post]
13 Mar 2014, 4:00 am
The Commodity Futures Trading Commission (CFTC) has issued guidance for CFTC-regulated financial institutions on compliance with the security safeguards provisions of Title V of the Gramm-Leach-Bliley Act (GLBA). [read post]
