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2 Nov 2023, 9:01 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
28 May 2022, 4:09 am
. $5 Million for Improper Variable Annuity Exchanges According to The Securities and Exchange Commission this week, the regulator has reportedly fined RiverSource Distributors Inc., a subsidiary of Ameriprise Financial Services LLC, $5 million for allegedly improperly switching Ameriprise customers’ variable annuities in order to generate commissions. [read post]
22 Mar 2022, 6:03 am
The Securities and Exchange Commission has put forward for public comment a rule proposal that would mandate immediate disclosure of the acquisition of any equity swap position with a dollar value exceeding $300 million. [read post]
16 Oct 2009, 5:00 am
Sirri, Professor of Finance, Babson College; Director (2006-2009), United States Securities and Exchange Commission Division of Trading and Markets Chester Spatt, Pamela R. and Kenneth B. [read post]
26 Sep 2018, 6:16 am
In a recent article, we discussed why the Securities and Exchange Commission (“SEC”) and its staff (the “Staff”) continue to think most cryptocurrencies and other crypto assets (“tokens”) are securities at the time they are offered. [1] If a token issuer plans to publicly offer and sell tokens that are securities, the offer and sale of those tokens generally needs to be registered (such as on a Form S-1) or qualified… [read post]
5 May 2022, 12:15 am
Securities and Exchange Commission, S. [read post]
13 Oct 2014, 6:00 am
Securities and Exchange Commission. [read post]
25 May 2013, 7:35 am
Securities and Exchange Commission. [read post]
9 Sep 2013, 1:06 pm
David Mura was recently barred by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) over allegations concerning the sale of unregistered securities away from his associated brokerage firm. [read post]
7 Jan 2020, 9:33 am
James Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment adviser or otherwise associating with a broker-dealer or provider of securities and/or investment advice. [read post]
7 Feb 2012, 5:00 am
On October 26, 2011, the Securities and Exchange Commission (“SEC”) brought suit in Federal District Court against Rajat K. [read post]
9 Oct 2014, 10:09 am
On August 27th, 2014, the Securities and Exchange Commission (“SEC”) unanimously decided to revise the rules that govern the disclosure, reporting, and offering of asset-backed securities (“ABS”) which would enhance transparency, better protect investors and facilitate capital formation in the market. [read post]
SEC Charges Madoff Employee With Creating Fake Trades. We knew he could not have done it on his own.
22 Nov 2011, 11:21 am
The Securities and Exchange Commission today charged a longtime Bernie Madoff employee with fraud for his role in creating fake trades to facilitate the massive Ponzi scheme. [read post]
12 Jun 2023, 4:50 am
New Exchange Act Rule 9j-1 is meant to prevent fraud, manipulation, and deception in connection with security-based swap transactions. [read post]
13 Dec 2006, 10:22 am
The Securities and Exchange Commission today proposed guidance to make it easier and less costly for companies to comply with internal-controls rules set forth by the Sarbanes-Oxley Act. [read post]
26 Mar 2009, 11:31 am
Securities and Exchange Commission or of my fellow Commissioners. [read post]
8 Jan 2021, 5:52 am
I am writing in regards to the notice that the Securities and Exchange Commission (SEC or the Commission) will, on Wednesday, December 16, 2020, consider adopting rules that “will require resource extraction issuers to disclose payments made to the U.S. federal government or foreign governments for the commercial development of oil, natural gas, or minerals. [read post]
25 Jun 2014, 1:57 pm
Securities and Exchange Commission (SEC) has charged a firm with violations of its pay-to-play rules. [read post]
27 Jul 2010, 7:10 am
Two whistleblowers recently received a $1 million reward from the Securities Exchange Commission (SEC) for providing information in connection with an insider trading case against the hedge fund Pequot Capital and its CEO Arthur Samberg. [read post]
22 Jul 2010, 9:12 am
The Securities and Exchange Commission (SEC) yesterday announced proposals intended to improve the regulation of mutual fund distribution fees and provide enhanced disclosure for investors. [read post]
