Search for: "Securities and Exchange Commission"
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26 Jan 2022, 7:40 am
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. [read post]
17 Feb 2022, 3:30 pm
The Securities and Exchange Commission announced that Seoul-based KT Corporation (KT Corp.) will pay $6.3 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) by providing improper payments for the benefit of government…Read the Full Press ReleaseHave a securities law question? [read post]
4 Mar 2022, 8:05 am
The Securities and Exchange Commission today charged venture capital fund adviser Alumni Ventures Group, LLC (AVG) with making misleading statements about its management fees and engaging in inter-fund transactions in breach of fund operating agreements…Read the Full Press ReleaseHave a securities law question? [read post]
1 Feb 2022, 7:05 am
The Securities and Exchange Commission today announced that Lori H. [read post]
6 Jan 2022, 1:00 pm
The Securities and Exchange Commission today announced charges against three Florida residents for trading in advance of market moving announcements involving DSW Inc., Rite Aid Corporation, and an attempt to acquire Aphria Inc., a Canadian cannabis-…Read the Full Press ReleaseHave a securities law question? [read post]
18 Mar 2022, 8:55 am
The Securities and Exchange Commission today announced three awards totaling approximately $3 million to whistleblowers who provided information and assistance in three separate covered actions. [read post]
1 Dec 2021, 8:10 am
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 82 soliciting entities, eight (8) impersonators of genuine firms, and…Read the Full Press ReleaseHave a securities law question? [read post]
6 Jan 2022, 12:15 pm
The Securities and Exchange Commission today announced charges against Australian citizen Craig Sproule and two companies he founded, Crowd Machine, Inc. and Metavine, Inc., for making materially false and misleading statements in connection with an…Read the Full Press ReleaseHave a securities law question? [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]
20 Feb 2013, 7:50 am
On January 24, President Obama announced his nominee for Chairman of the Securities Exchange Commission – Mary Jo White, a former United States Attorney for the Southern District of New York. [read post]
31 May 2012, 11:46 am
The American Bar Association is in strong favor of self-funding for both the Commodity Futures Trading Commission and the Securities and Exchange Commission. [read post]
9 Oct 2009, 8:43 am
Securities and Exchange Commission (SEC) yesterday released for public comment a draft Strategic Plan outlining its mission, values and strategic goals for fiscal years 2010 to 2015. [read post]
14 Dec 2018, 6:06 am
Securities and Exchange Commission Posted by Jay Clayton, U.S. [read post]
8 May 2019, 12:36 pm
Securities and Exchange Commission. [read post]
6 Jun 2011, 12:00 pm
" Furthermore, Green Mountain Coffee's selective disclosure of material non-public information apparently violated Securities and Exchange Commission Fair Disclosure Regulations (Regulation FD). [read post]
5 Aug 2007, 5:03 pm
Washington lawyer Peggy Blake, who recently joined Winston & Strawn as a corporate partner, reports her foreign financial services clients are "very optimistic" about the movement afoot at the Securities and Exchange Commission to adopt a mutual recognition regime. [read post]
3 Jul 2018, 6:25 am
Securities and Exchange Commission, — U.S. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
