Search for: "Securities and Exchange Commission"
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13 Sep 2023, 7:06 am
The Securities and Exchange Commission today charged Stoner Cats 2 LLC (SC2) with conducting an unregistered offering of crypto asset securities in the form of purported non-fungible tokens (NFTs) that raised approximately $8 million from investors to…Read the Full Press Release Have 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]
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]
13 Sep 2022, 5:35 am
The Securities and Exchange Commission today filed a litigated action against Oppenheimer & Co. [read post]
26 Sep 2022, 10:55 am
The Securities and Exchange Commission today charged Peter L. [read post]
10 Oct 2024, 9:55 am
The Securities and Exchange Commission today charged Chicago-based Cumberland DRW LLC with operating as an unregistered dealer in more than $2 billion of crypto assets offered and sold as securities, in violation of the registration requirements of the…More information at SECLaw.com Read the Full Press Release Have a securities law question? [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]
9 Dec 2024, 2:21 pm
The Securities and Exchange Commission today charged Denver resident Ian G. [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]
26 Mar 2024, 1:20 pm
The Securities and Exchange Commission is seeking five candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations. [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]
21 Feb 2012, 12:10 pm
Earlier this month, the Ontario Securities Commission, Quebec's Autorité des marchés financiers, the Alberta Securities Commission and the British Columbia Securities Commission announced the signing of a memorandum of understanding with the Australia Securities and Investments Commission. [read post]
2 Oct 2008, 10:39 pm
News release: "The Commission has taken steps during recent weeks to address concerns regarding short sales in light of the... [read post]
14 Mar 2019, 6:33 am
On February 20, the Securities and Exchange Commission (the “SEC” or “Commission”) issued a cease-and-desist order against Gladius Network LLC (“Gladius”) concerning its 2017 initial coin offering (“ICO”). [read post]
14 Oct 2020, 6:09 am
Securities and Exchange Commission. [read post]
8 Oct 2024, 12:15 am
About eight years ago, I propounded the following five theses regarding the Securities and Exchange Commission's whistleblower bounty program: The whistleblower program victimizes the victims of securities fraud. [read post]
18 Jul 2019, 11:12 am
Robbins discuss the joint statement recently issued by the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) summarizing federal and state securities law considerations that may be applicable to QOFs. [read post]
5 Mar 2012, 1:50 pm
The Securities and Exchange Commission and regulators in the United Kingdom have been investigating exchange traded funds for some time. [read post]
2 Aug 2020, 6:12 am
On July 10, 2020, the Securities and Exchange Commission (“SEC”) announced that it has proposed amendments to the Form 13F filing requirements to raise the reporting threshold from $100 million to $3.5 billion and to make other changes. [read post]
22 Dec 2014, 1:59 pm
Securities and Exchange Commission. [read post]
