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16 Sep 2021, 4:12 pm
The agency’s press release about the latest awards unusually includes a statement from the SEC Chair, Gary Gensler, who is quoted as saying that “Today’s announcement underscores the important role that whistleblowers play in helping the SEC detect, investigate, and prosecute potential violations of the securities laws,” adding that “the assistance that whistleblowers provide is crucial to the SEC’s ability to enforce the rules of the road for our capital… [read post]
16 Sep 2021, 10:03 am
In announcing these awards, SEC Chair Gary Gensler stated that the awards “underscore[] the important role that whistleblowers play in helping the SEC detect, investigate, and prosecute potential violations of the securities laws. [read post]
16 Sep 2021, 9:22 am
At the Annual Meeting: Perfecting the Appeal — Preservation, Jurisdiction and ProsecutionFriday, September 24 @ 11:40 am – 12:50 pmJoin Court of Appeal Justice Anne Egerton and Hanson Bridgett appellate lawyers Gary Watt and David Casarrubias as they discuss issues affecting success on appeal including record preservation problems, jurisdictional safeguards and snafus, and how to navigate the appeal from docketing to decision. [read post]
16 Sep 2021, 7:48 am
SEC Chair Gary Gensler said that the announcement “underscores the important role that whistleblowers play in helping the SEC detect, investigate, and prosecute potential violations of the... [read post]
16 Sep 2021, 6:07 am
In the SEC’s press release, SEC Chair Gary Gensler issued the following statement: “Today’s announcement underscores the important role that whistleblowers play in helping the SEC detect, investigate, and prosecute potential violations of the securities laws. [read post]
16 Sep 2021, 2:01 am
Burridge, Gary Fealk, and John Below are attorneys with Bodman PLC in Detroit and Troy, Michigan. [read post]
16 Sep 2021, 2:01 am
Burridge, Gary Fealk, and John Below are attorneys with Bodman PLC in Detroit and Troy, Michigan. [read post]
15 Sep 2021, 2:30 pm
“Today’s announcement underscores the important role that whistleblowers play in helping the SEC detect, investigate, and prosecute potential violations of the securities laws,” said SEC Chair Gary Gensler. [read post]
15 Sep 2021, 6:16 am
Posted by Gary Gensler, U.S. [read post]
15 Sep 2021, 3:22 am
SEC Chair Gary Gensler testified yesterday before the Senate Committee on Banking, Housing and Urban Affairs. [read post]
14 Sep 2021, 4:26 pm
Ankura Consulting’s Gary Wingo!! [read post]
14 Sep 2021, 3:18 pm
We’re sure all Gary Gensler needs to stop worrying and love payment for order flow is time. [read post]
14 Sep 2021, 3:15 am
Dave blogged last month about SEC Chair Gary Gensler publicly committing to protect investors from fraud in the crypto space – a signal that he would be open to the SEC playing a greater regulatory role in the world of digital assets. [read post]
14 Sep 2021, 3:00 am
This Cadwalader blog recaps the contrasting views that SEC Chair Gary Gensler and SEC Commissioner Hester Peirce expressed during the meeting on market regulation, technology and new financial products. [read post]
13 Sep 2021, 7:50 am
Edited by Gary J. [read post]
10 Sep 2021, 1:27 pm
FINRA Fines and Suspends Young Merrill Trader For Spoofing Treasuries (BrokeAndBroker.com Blog)Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs by SEC Chair Gary GenslerSEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets / Companies to Pay More Than $539 Million in Settlement for Distribution to Investors (SEC Release)SEC Requests Briefing on Alleged FINRA Denial of Service in ExpungementsIn the Matter of the… [read post]
10 Sep 2021, 1:27 pm
SEC Permanently Bars Frivolous Claimant from Whistleblower Program(BrokeAndBroker.com Blog)Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs by SEC Chair Gary GenslerSEC Charges App Annie and its Founder with Securities Fraud / Company Will Pay $10 Million to Settle First Enforcement Action Against Alternative Data Provider (SEC Release)SEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets / Companies to Pay More Than… [read post]
10 Sep 2021, 11:59 am
AttorneyBritt, Gary L. [read post]
10 Sep 2021, 11:59 am
AttorneyBritt, Gary L. [read post]
10 Sep 2021, 9:15 am
SEC Chair Gary Gensler has spoken about placing limits on 10b5-1 plans, signaling possible Commission action.Recommendation. [read post]
