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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]
11 May 2023, 6:21 am
The Securities and Exchange Commission today charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for widespread and longstanding failures by both firms and their employees to maintain and preserve electronic communications. [read post]
6 Mar 2024, 10:25 am
The Securities and Exchange Commission today adopted rule amendments that update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks (NMS stocks), which are stocks listed on a national securities…Read the Full Press Release Have a securities law question? [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]
12 Dec 2024, 12:55 pm
The Securities and Exchange Commission today charged Eric Cobb of South Carolina with engaging in a fraudulent scheme where he allocated profitable securities trades to favored accounts and unprofitable trades to disfavored clients, a practice known as…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
31 Oct 2024, 2:15 pm
The Securities and Exchange Commission today charged J.P. [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]
7 Dec 2022, 1:16 pm
The Securities and Exchange Commission today charged venture capital firm Vika Ventures LLC and its CEO and co-founder, George Iakovou, with fraudulently offering and selling more than $6 million of securities to at least 46 individual investors in…Read the Full Press ReleaseHave 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]
23 Aug 2023, 11:42 am
The Securities and Exchange Commission today charged former New Jersey State Correctional Police Officer John A. [read post]
21 Nov 2024, 11:45 am
The Securities and Exchange Commission today charged David Kushner, a resident of Boca Raton, Florida, and his company La Mancha Funding Corp. with defrauding nearly two dozen investors out of approximately $2.1 million in a series of private securities…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
7 Dec 2022, 7:42 am
The Securities and Exchange Commission today reopened the comment period on proposed amendments intended to modernize and improve the disclosure required about an issuer’s repurchases of its equity securities, often referred to as buybacks. [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]
14 Aug 2012, 11:35 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] announced Tuesday that Wells Fargo [corporate website] will pay a $6.5 million fine [order, PDF] for improperly selling high-risk mortgage securities to investors during the housing market crash in 2007. [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]
3 May 2023, 8:20 am
The Securities and Exchange Commission today adopted amendments to modernize the disclosure requirements relating to repurchases of an issuer’s equity securities, including requiring issuers to provide daily repurchase activity on a quarterly or semi-…Read the Full Press Release Have a securities law question? [read post]
11 Dec 2024, 7:30 am
The Securities and Exchange Commission today charged Chibuzo Augustine Onyeachonam, Stanley Chidubem Asiegbu, and Chukwuebuka Martin Nweke-Eze with fraud for impersonating legitimate securities brokers and investment advisers in an elaborate online…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
18 Nov 2021, 1:35 pm
The Securities and Exchange Commission today published proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap…Read the Full Press ReleaseHave a securities law question? [read post]
27 Jul 2023, 10:00 am
The Securities and Exchange Commission today charged Brent Seaman of Naples, Florida, and various entities he managed for fraudulently raising approximately $35 million from at least 60 investors through an unregistered securities offering. [read post]
