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30 Sep 2024, 12:54 pm
This group is co-chaired by Former Securities and Exchange (SEC) Commissioner Allison Herren Lee and former SEC Enforcement Attorney Andrew Feller. [read post]
16 Dec 2022, 12:15 am
Earlier this week, the Securities and Exchange Commission adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 which provides affirmative defenses to trading on the basis of material nonpublic information. [read post]
28 Mar 2007, 6:27 am
The Securities and Exchange Commission has charged two former Enron lawyers for their role in the sale of a Brazilian power project to one of the company's infamous partnerships. [read post]
6 Apr 2015, 6:35 am
Last week, the Securities and Exchange Commission (SEC) charged more than 20 individuals and companies with violations of the Securities Exchange Act of 1934 (the Exchange Act) related to the buying and selling of investment-grade corporate bonds. [read post]
22 Dec 2021, 9:15 pm
This paper considers a rulemaking effort underway at the Securities and Exchange Commission to regulate the conflicts of interest that result when brokers send client orders to venues that pay the broker a fee in exchange for routing to them. [read post]
25 Jun 2009, 7:52 am
(Editor’s Note: This post sets forth the text of a letter to the Securities and Exchange Commission by Edward D. [read post]
11 Mar 2012, 8:08 am
Securities and Exchange Commission. [read post]
13 Jan 2017, 8:19 am
[JURIST] The US House of Representatives [official website] approved the SEC Regulatory Accountability Act [materials] on Thursday, which requires the Securities and Exchange Commission [official website] to perform a cost-benefit analysis before implementing any new regulations. [read post]
17 Dec 2018, 3:45 am
On 13 December 2018, the European Commission adopted the following Implementing Regulations under the Regulation on reporting and transparency of securities financing transactions (SFTR) which also amend the European Markets Infrastructure Regulation (EMIR): Commission Implementing Regulation laying down implementing technical standards with regard to the format and frequency of reports on the details of securities financing transactions to trade repositories in… [read post]
20 Aug 2018, 12:36 pm
After some ill-advised tweeting, the Tesla CEO is now under investigation by the Securities and Exchange Commission for possible securities fraud. [read post]
16 Nov 2011, 2:10 am
Securities and Exchange Commission has two new senior leaders who have been given significant duties under the Dodd-Frank Act to oversee security-based swap data repositories. [read post]
6 Mar 2008, 9:02 pm
The Australian Securities and Investments Commission (ASIC) and the Australian Securities Exchange (ASX) have issued three statements to clarify and reinforce existing obligations in relation to share lending and short selling. [read post]
10 Aug 2007, 4:53 am
The Securities and Exchange Commission is looking into whether Wall Street brokers — starting with Goldman Sachs and Merrill Lynch — are using consistent [...] [read post]
18 Aug 2009, 6:18 am
On August 5, 2009, the Director of the Division of Enforcement of the Securities and Exchange Commission, Robert Khuzami, outlined multiple new steps the SEC is taking to increase enforcement of securities laws and regulations in the wake of high-profile cases and losses for investors, such as the Bernard Madoff ponzi scheme.In his wide-ranging speech, Director Khuzami explained that the SEC, and specifically the Division of Enforcement, plans to emphasize… [read post]
6 Nov 2013, 7:00 am
The Staff of the Securities and Exchange Commission Division of Trading and Markets issued advice on Securities Exchange Act of 1934 Rule 15a-6, involving registration exemptions for foreign broker-dealers. [read post]
27 Aug 2006, 12:30 pm
The United States Department of Justice, the Securities and Exchange Commission, the National Association of Securities Dealers and the New York Stock Exchange, are expected to announce a civil settlement with Prudential Financial Inc. on Monday. [read post]
5 Apr 2019, 2:13 pm
The US Securities and Exchange Commission (SEC) has awarded $50M to two individuals who acted as whistleblowers, helping the regulator to render a successful enforcement action because of the quality information they provided. [read post]
30 Mar 2018, 3:41 pm
On March 27, 2018, the Securities and Exchange Commission (“SEC”) announced formal charges against Wedbush Securities Inc. [read post]
16 Nov 2010, 7:34 am
On October 18, 2010, the Securities and Exchange Commission (“SEC”) proposed new Rule 14Ad-1 (the “Proposed Rule”) under the Securities Exchange Act of 1934 (the “Exchange Act”), as required by Section 951 of the “Dodd-Frank Wall Street Reform and Consumer Protection Act” (“Dodd-Frank”). [read post]
2 Sep 2022, 6:30 am
Securities and Exchange Commission, on Sunday, August 28, 2022 Tags: Disclosure, Misconduct, SEC, SEC rulemaking, Securities regulation, Whistleblowers Statement by Chair Gensler on Final Amendments to the Whistleblower Program Posted by Gary Gensler, U.S. [read post]
