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FOIA News: The SEC Guide to FOIA Appeals
6 Jul 2017, 3:34 am by Ryan Mulvey
The Securities and Exchange Commission's guide to better FOIA appealsBeryl Lipton, MuckRock, July 5, 2017Way back in March, we awarded the title of FOIA March Madness Champion to the Securities and Exchange Commission (SEC) for their swift response to this year’s tournament. [read post]
FOIA Advisor - http://www.foiaadvisor.com
States, Countries Focus on Fraud Prevention and Customer Protection in Crypto
23 Feb 2023, 10:00 pm
The United Kingdom is considering fund tokenization, particularly as it relates to retail investors, and the Hong Kong Securities and Futures Commission is gearing up for a crypto exchange platform licensing regime while considering whether retail investors should trade on licensed crypto platforms. [read post]
Power & Pipes - https://www.morganlewis.com/blogs/powerandpipes
SEC Files Complaint for Injunctive and Other Relief Against Craig V. Sizer and Miguel Mesa For Defrauding Investors Of Approximately $20 Million In Relation to Companies Sanomedics, Inc. and Fun Cool Free, Inc.
11 Oct 2016, 2:00 pm by Lax & Neville LLP
On September 26th, 2016, the Securities and Exchange Commission (“SEC”) filed a Complaint for Injunctive and Other Relief against Craig V. [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
Investing in the Next “Big Thing” Just Got Easier – SEC Promulgates New Crowdfunding Rules
3 Nov 2015, 10:30 am by Blake Osborn
On October 30, 2015, the United States Securities and Exchange Commission (“SEC”) moved forward in implementing Title III of the JOBS Act and adopted new rules permitting companies to offer and sell securities to all potential investors through crowdfunding. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
SEC Chair Gensler Speaks to Investor Advisory Committee
22 Jun 2023, 9:01 pm by renholding
Securities and Exchange Commission, before the SEC’s Investor Advisory Committee in Washington, D.C. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Mulls Civil Charges Against the City of Miami
26 Jul 2012, 11:40 am
Securities and Exchange Commission ("SEC"), SEC investigators intend to recommend that the SEC bring civil charges against the City of Miami for alleged violations of the Securities Acts of 1933 and the Exchange Act of 1934. [read post]
Florida Securities Fraud Lawyer Blog - http://www.floridasecuritiesfraudlawyerblog.com/
Out of Control: SEC Says Lack of Internal Controls Led to HP Paying More Than $108 Million to Settle FCPA Actions
15 Apr 2014, 11:59 am by Kristen Bartlett
On April 9, 2014, the Securities and Exchange Commission announced that Hewlett-Packard had agreed to pay more than $108 million to settle Foreign Corrupt Practices Act actions brought by the SEC and the Department of Justice. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
SEC Accuses Western International Securities & Five Brokers Of Reg BI Violations Involving $13.3M in L Bond Sales
2 Jul 2022, 8:00 am by Shepherd Smith Edwards & Kantas, LLP
SEC Alleges Western International Securities and Its California Financial Advisors Committed Due Diligence Failures  The US Securities and Exchange Commission (SEC) has filed civil charges against Western International Securities and several of its registered representatives. [read post]
Investor Lawyers Blog - https://www.investorlawyers.com/blog/
Commissioners Dissent on Electronic-Filing Rule Amendments
16 Dec 2024, 9:01 pm by renholding
Securities and Exchange Commission. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Statement at Open Meeting on Commission Guidance and Interpretation Regarding Proxy Voting and Proxy Voting Advice
21 Aug 2019, 11:43 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Open Letter to the Securities and Exchange Commission (Part 8): Bring Enforcement Action Against Overstock.com for False and Misleading Disclosures
5 Apr 2010, 12:17 am by Sam E. Antar
The SEC must get Patrick Byrne sober Updated at 9:42 PM Eastern To Mary Schapiro (Chairperson of the Securities and Exchange Commission): I respectfully recommend that the Securities and Exchange Commission bring an enforcement action against Overstock.com (NASDAQ: OSTK) for violations of securities laws and retaliation against its critics. [read post]
White Collar Fraud - http://whitecollarfraud.blogspot.com/
Investor Fraud: Steele Financial is Accused of Selling Over $13M in Risky Securities, NJ Broker Allegedly Cherry Picked Trades, and the SEC Files Charges in $27M Microcap Fraud
14 Sep 2018, 8:00 pm by ccollins
Steele Financial is Accused of Investor Fraud The US Securities and Exchange Commission has filed civil charges against investment advisory firm Steele Financial Inc. and its owner Tamara Steele. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
The Final Rules for Consolidated Audit Trail
27 Jul 2012, 6:12 am by Elisse Walter, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Cracks Down on Compliance and Surveillance Failures
21 Aug 2015, 9:55 am by Christopher M. Varano
Earlier this week, the Securities and Exchange Commission agreed to settle charges with a company related to prevention and detection of potential insider trading. [read post]
Securities Compliance Sentinel - http://securitiescompliancesentinel.foxrothschild.com
Can You Hear the Whistle Blowing?: SEC Punishes Company that Did Not Address Fraud Allegations by Whistleblower
12 Aug 2014, 4:36 pm by Leo Moniz
Securities and Exchange Commission recently announced the latest whistleblower bounty awarded under the Dodd-Frank Act, which authorizes rewards for original information about violations of securities laws. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
SEC Seeks to Impose Tougher Penalties for Securities Fraud
29 Dec 2011, 10:46 am
The Securities and Exchange Commission has issued a proposal seeking to impose larger penalties on wrongdoers. [read post]
Institutional Investor Securities Blog - http://www.institutionalinvestorsecuritiesblog.com/
“Administrative Law Judges Are Unconstitutional”
4 May 2016, 9:15 pm by Walter Olson
Securities and Exchange Commission, urges courts to take the next logical step and rule that it is not. [read post]
Overlawyered - http://overlawyered.com/
Raymond James Agrees to Pay More Than $750,000 in Restitution for Excessive Commissions
14 Oct 2011, 12:51 pm
This June, Raymond James was censured and ordered to cease and desist from further violations by the Securities and Exchange Commission for violations connected to the firmandrsquo;s sales of auction rate securities. [read post]
Securities Arbitration Blog - http://www.securitiesarbitrations.com
Statement by Commissioner Peirce and Commissioner Roisman on The Commission’s Actions Regarding the PCAOB
8 Jun 2021, 5:56 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Changes to Enforcement Have Led to Enhanced Results, Says Khuzami
4 May 2012, 11:52 am
According to Securities and Exchange Commission Enforcement Director Robert S. [read post]
Institutional Investor Securities Blog - http://www.institutionalinvestorsecuritiesblog.com/