Search for: "Securities and Exchange Commission"
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30 Sep 2024, 8:00 am
The Securities and Exchange Commission today charged Olayinka Oyebola and his Public Company Accounting Oversight Board-registered accounting firm, Olayinka Oyebola & Co. [read post]
14 Feb 2023, 10:35 am
The Securities and Exchange Commission today charged Christopher S. [read post]
2 Nov 2023, 1:16 pm
The Securities and Exchange Commission today announced that Canada’s largest bank, Royal Bank of Canada, will pay a $6 million penalty to settle charges that it violated the books and records and internal accounting controls provisions of the securities…Read the Full Press Release Have a securities law question? [read post]
2 May 2023, 3:01 pm
The Securities and Exchange Commission today charged Brett M. [read post]
5 Jan 2012, 10:11 am
The Securities and Exchange Commission has charged an Illinois-based advisor with selling fictitious securities via social media. [read post]
13 Dec 2023, 8:52 am
The Securities and Exchange Commission today adopted rule changes to enhance risk management practices for central counterparties in the U.S. [read post]
15 Feb 2023, 8:10 am
The Securities and Exchange Commission today adopted rule changes to shorten the standard settlement cycle for most broker-dealer transactions in securities from two business days after the trade date (T+2) to one (T+1). [read post]
3 Dec 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has at long last adopted a final rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [read post]
14 Sep 2023, 1:51 pm
The Securities and Exchange Commission today announced settled fraud charges against GlennCap LLC, a Connecticut-based investment advisory firm, and its owner, Jonathan Vincent Glenn, for allocating profitable securities trades to favored accounts,…Read the Full Press Release Have a securities law question? [read post]
19 Mar 2024, 10:06 am
The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association (NASAA), the Georgia Secretary of State, the University of North Georgia, and Dalton State College to host joint public…Read the Full Press Release Have a securities law question? [read post]
17 Apr 2024, 7:35 am
The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. [read post]
30 Jan 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has re-proposed a new rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act). [read post]
16 Jun 2022, 7:05 am
The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan –…Read the Full Press ReleaseHave a securities law question? [read post]
30 Jan 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has re-proposed a new rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act). [read post]
13 Dec 2023, 1:05 pm
The Securities and Exchange Commission today announced that Credit Suisse Securities (USA) LLC and two affiliated Credit Suisse entities (collectively, the Credit Suisse Entities) agreed to pay more than $10 million to settle the SEC’s charges that they…Read the Full Press Release Have a securities law question? [read post]
3 Sep 2024, 10:50 am
The Securities and Exchange Commission today charged Maria Dulce Pino Dickerson and her companies Creative Legal Fundings in CA and The Ubiquity Group LLC with raising approximately $7 million from more than 130 investors through a fraudulent securities…Read the Full Press Release Have a securities law question? [read post]
3 Dec 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has at long last adopted a final rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [read post]
21 Sep 2022, 5:35 am
The Securities and Exchange Commission today charged the CEO of Cheetah Mobile Inc. and the company’s former President with insider trading for selling Cheetah Mobile’s securities, pursuant to a purported 10b5-1 trading plan, while in possession of…Read the Full Press ReleaseHave a securities law question? [read post]
23 Jan 2023, 9:03 am
The Securities and Exchange Commission today announced that, starting on February 27, 2023, the fee rates applicable to most securities transactions will be set at $8.00 per million dollars. [read post]
10 Jan 2023, 8:02 am
The Securities and Exchange Commission today announced the appointment of Cristina Martin Firvida as Director of the Office of the Investor Advocate, effective Jan. 17, 2023. [read post]
