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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]
19 Sep 2023, 11:31 am
The Securities and Exchange Commission today charged Richmond, California resident Tilila Walker Sumchai with raising approximately $11.8 million from more than 1,000 investors through a fraudulent securities offering targeting members of the Tongan…Read the Full Press Release Have a securities law question? [read post]
21 May 2024, 12:35 pm
Securities and Exchange Commission Chair Gary Gensler today issued the following statement on the conversion of the U.S. securities market to a T+1 standard settlement cycle, which will take place on May 28, 2024: “For everyday investors who sell their…Read the Full Press Release Have a securities law question? [read post]
14 Feb 2023, 10:35 am
The Securities and Exchange Commission today charged Christopher S. [read post]
23 Oct 2009, 6:03 am
The Securities and Exchange Commission (”SEC”) and the Commodity Futures Trading Commission (”CFTC”) (collectively, the “Commissions”) released a joint report on October 16, 2009 (the “Report”) [...] [read post]
31 Mar 2007, 3:54 am
Acknowledging gaps between proposals by the Securities and Exchange Commission and the Public Company Accounting Oversight Board for complying with Section 404 of the Sarbanes Oxley-Act, the SEC will hold an open meeting next Wednesday to talk about how the two regulators can march in lockstep on internal controls. [read post]
25 Jan 2007, 10:23 pm
"I think we are seeing the effects of a tougher and smarter campaign against white collar fraud by the [Securities and Exchange Commission] and the Justice Department," he said in a statement.BNA subscribers can access the full article here. [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]
10 Mar 2008, 6:52 pm
The business has only a few employees and is sandwiched between a sex shop and a clinic for drug addicts.According to Securities and Exchange Commission filings, Liu also is sole shareholder of an offshore investment company that got 10.1 percent of China Fire & Security Group Inc. [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]
23 Aug 2016, 6:03 am
By Amanda Maine, J.D.By a unanimous vote, the Securities and Exchange Commission imposed penalties, disgorgement, and a cease and desist order on a broker-dealer for its role in a complex short-selling scheme. [read post]
2 May 2013, 6:41 am
Securities and Exchange Commission. [read post]
23 May 2014, 1:55 pm
Securities and Exchange Commission (the SEC) has a very similar whistleblower program in place that covers all of the various securities laws that are within the jurisdiction of the SEC, as opposed to the CFTC. [read post]
14 Oct 2020, 6:09 am
Securities and Exchange Commission. [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]
6 Dec 2010, 3:00 pm
The International Ombudsman Association has submitted a statement to the Securities and Exchange Commission regarding the new Ombudsman for the Office of the Investor Advocate that will be implemented pursuant to the Dodd-Frank Act. [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]
25 Jul 2011, 11:38 am
The Securities and Exchange Commission announced today that it has delayed consideration of final proxy vote disclosure rules for institutions that are Form 13F filers. [read post]
5 Feb 2024, 9:01 pm
On January 16, 2024, the Securities and Exchange Commission announced a settled enforcement action against JP Morgan Securities, LLC (“JPMS”) for violating Rule 21F-17(a) of the Securities Exchange Act of 1934.[1] Like other recent 21F-17(a) cases brought by the SEC, the case involved a claim that certain confidentiality language in an agreement with individuals would impede those individuals from reporting potential… [read post]
22 Dec 2014, 1:59 pm
Securities and Exchange Commission. [read post]
