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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]
1 Feb 2011, 8:40 am
The Securities and Exchange Commission (SEC) approved Financial Industry Regulatory Authorityandrsquo;s proposed rule change to provide customers in all FINRA arbitrations the option of having an all public panel. [read post]
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]
15 Oct 2007, 2:03 pm
The Securities and Exchange Commission and U.S. [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]
12 Jan 2021, 6:29 am
On January 1st, 2021, Congress voted to amend the Securities and Exchange Act of 1934 (Exchange Act), enacting into law the following provisions: The Securities and Exchange Commission (SEC) now has statutory authority to seek disgorgement in civil enforcement actions in federal district court; The statute of limitations in certain SEC actions is now tolled while defendants are outside of the United States; and The statute of limitations for… [read post]
29 Jan 2007, 10:25 pm
Walter may face civil charges brought by the Securities and Exchange Commission over a previously disclosed accounting and financial reporting matter. [read post]
9 May 2007, 5:21 am
We begin the exploration of the Commission’s role in the corporate governance process, something discussed at length in my paper, Corporate Governance, the Securities and Exchange Commission, and the Limits of Disclosure. [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]
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]
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]
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]
13 May 2007, 11:49 am
The Securities and Exchange Commission has posted archived webcasts of its Roundtable on the Proxy Process. [read post]
9 May 2011, 11:53 am
Securities and Exchange Commission. [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]
3 Dec 2018, 8:43 pm
The dividing lines were apparent at Monday’s argument in Lorenzo v Securities and Exchange Commission, as several justices seemed to think it self-evident that the conduct of petitioner Francis Lorenzo amounted to a fraudulent scheme under the federal securities laws, while at least one justice, Neil Gorsuch, appeared ready to rule for Lorenzo. [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]
