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20 Jun 2008, 2:32 pm
District Court judge again dismisses securities case against Merchant Capital LLC": law.com provides a report that begins, "Judge Marvin Shoob has again dismissed a fraud case by Atlanta lawyers for the Securities and Exchange Commission against an investment company, despite a strong suggestion from a federal appeals court that the investment company did wrong and deserved to be punished. [read post]
28 Feb 2007, 12:00 pm
Securities and Exchange Commission. [read post]
24 Jan 2012, 6:47 am
On January 23, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, Imposing Remedial Sanctions and a Censure Order as to 1st Discount Brokerage, Inc. [read post]
12 Feb 2015, 2:35 pm
In addition to his long career on the Columbia law faculty, with a focus on corporate law, he served as a Commissioner of the Securities and Exchange Commission from 2002-05. [read post]
9 May 2011, 11:53 am
Securities and Exchange Commission. [read post]
10 Apr 2009, 8:44 am
The Sacbee reports that The Securities and Exchange Commission said that the Folsom area Ponzi scheme it alleges was run by Anthony Vassallo and Kenneth Kenitzer offered low-risk investments paying 42% a year. [read post]
13 May 2007, 11:49 am
The Securities and Exchange Commission has posted archived webcasts of its Roundtable on the Proxy Process. [read post]
25 Oct 2022, 3:15 am
The speech focused on the role of competition in what the Securities and Exchange Commission does, and how the agency employs the tools that it has across the fixed income, equity, and private markets. [read post]
11 Apr 2022, 3:31 am
Euro-denominated securities : the Commission confirmed that the prohibition concerning investment in euro-denominated securities does not apply to entities established in the EU that are owned by Russian citizens but registered in country other than Russia. [read post]
12 May 2009, 11:51 am
The Securities and Exchange Commission plans to consider proposals to allow shareholders to nominate board candidates to appear on management proxy statements when the commission meets on May 20. [read post]
22 Jul 2022, 7:57 am
In a series of parallel actions announced on July 21, 2022, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) initiated criminal and civil charges against three defendants in the first cryptocurrency insider trading case. [read post]
23 Nov 2011, 8:17 am
Securities and Exchange Commission announced the approval of additional listing criteria for companies that become public through a reverse merger. [read post]
15 Feb 2022, 8:00 am
The Securities and Exchange Commission today announced that six investment advisers and six broker-dealers have agreed to settle charges that they failed to file and deliver client or customer relationship summaries – known as Form CRS – to their retail…Read the Full Press ReleaseHave a securities law question? [read post]
26 Nov 2021, 5:18 am
The Securities and Exchange Commission today announced that it charged Ryan Ginster of Corona, California with conducting two unregistered and fraudulent securities offerings that raised over $3.6 million in cryptocurrency from retail investors. [read post]
27 Jan 2022, 12:05 pm
The Securities and Exchange Commission today announced that LizAnn Eisen has been named Deputy Director, Disclosure Program, for the Division of Corporation Finance. [read post]
31 Jan 2022, 9:10 am
The Securities and Exchange Commission today issued its annual Staff Report on Nationally Recognized Statistical Rating Organizations (NRSROs), providing a summary of the SEC staff’s examinations of NRSROs and discussing the state of competition,…Read the Full Press ReleaseHave a securities law question? [read post]
2 Dec 2021, 9:45 am
The Securities and Exchange Commission today charged the former Chief Financial Officer of pharmaceutical company Immunomedics, Inc. and his former romantic partner with insider trading in the company’s stock. [read post]
6 Jan 2022, 10:10 am
The Securities and Exchange Commission today announced an award of more than $13 million to a whistleblower whose information and assistance prompted the opening of an investigation and significantly contributed to the success of an SEC enforcement…Read the Full Press ReleaseHave a securities law question? [read post]
5 Jan 2022, 12:45 pm
The Securities and Exchange Commission today charged Allen C. [read post]
26 Nov 2021, 1:12 pm
The Securities and Exchange Commission today voted to propose amendments to its rules governing proxy voting advice. [read post]
