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11 Mar 2012, 8:08 am
Securities and Exchange Commission. [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]
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]
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 Nov 2010, 7:24 am
The Securities and Exchange Commission and the Commodity Futures Trading Commission are working to administer a new whistleblower rule that could provide lottery-sized payouts to informants that provide valuable information in a successful case of securities law violation. [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]
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]
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]
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]
17 Feb 2011, 5:00 am
Sources: Securities and Exchange Commission v. [read post]
2 Nov 2023, 9:01 pm
Securities and Exchange Commission, in Washington, D.C. [read post]
28 Sep 2009, 2:08 pm
I am hereby volunteering my services to help my Country and investors World-wide by going to work for the frenemy: the Securities & Exchange Commission. [read post]
1 Dec 2015, 2:38 pm
On December 1, 2015, the Securities and Exchange Commission (SEC) charged GAW Miners, LLC (“GAW Miners”), ZenMiner, LLC (“ZenMiner”) and Homero Joshua Garza (“Garza”) the managing member of both GAW Miners and ZenMiner (together the, “Defendants”) with fraud under (i) Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and (ii) Section 17(a) of the Securities… [read post]
21 Feb 2007, 12:25 pm
The civil penalty, disclosed Wednesday by the Securities and Exchange Commission, comes 4 1/2 years after regulators opened an inquiry into a secret deal that Veritas negotiated with Internet service provider AOL in 2000. [read post]
6 Mar 2022, 4:20 am
Background On February 10, 2022, the Securities and Exchange Commission (the “SEC”) proposed amendments to Schedules 13D and 13G relating to beneficial ownership reports (the “Proposed Amendments”). [1] The Securities Exchange Act of 1934 (the “Exchange Act”), Section 13(d), was originally enacted to address the increasing use of cash tender offers in corporate takeovers. [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]
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]
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]
19 Nov 2007, 8:07 am
The Government Accountability Office said Monday that the Securities and Exchange Commission had a material weakness in the internal controls over its financial reporting. [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]
