Search for: "In Re Securities and Exchange Commission"
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23 Dec 2024, 5:00 am
The Securities and Exchange Commission brought charges against three firms for failing to file Form D on time. [read post]
24 Jun 2019, 11:59 am
” The definition of an investment contract is “an investment of money in a common enterprise, with an expectation of profits based solely on the efforts of the promoter” (Securities and Exchange Commission v. [read post]
3 Mar 2024, 7:51 pm
Don’t treat this as optional: Recent attacks on the Securities and Exchange Commission’s official X account and thousands of accounts at 23andMe might have been blocked had those users enabled 2FA. [read post]
8 Feb 2007, 9:00 am
Apparently, one of its employees was engaged in "fraudulent securities practices" and the Securities and Exchange Commission determined the activity comprised a "'serious[]' pattern of misconduct" on the part of Bank of America Corporation. [read post]
11 Oct 2021, 7:32 am
The Securities and Exchanges Commission (SEC) has been awarding millions of dollars to whistleblowers in recent years—and the Commission has been awarding larger bonuses, more frequently. [read post]
14 Aug 2013, 1:27 pm
Should the Securities and Exchange Commission put rules and restrictions on such communications for these type of high profile individuals? [read post]
27 Aug 2012, 2:07 pm
FINRA (the Financial Industry Regulatory Authority) and the SEC (the Securities and Exchange Commission) recently joined together to issue a National Exam Risk Alert (the “Alert”). [read post]
6 May 2011, 11:19 am
Securities & Exchange Commission's new program rewarding individuals for their cooperation has been "a success," said Enforcement Division head Robert Khuzami, speaking today at a securities law conference in Colorado. [read post]
14 Jun 2023, 9:01 pm
Securities and Exchange Commission, at the Small Business Capital Formation Advisory Committee in Washington, D.C. [read post]
22 May 2014, 4:45 pm
EPIC – “In a letter to the Securities and Exchange Commission, Google announced plans to place targeted ads on Google-controlled appliances. [read post]
10 Jan 2022, 9:23 am
The law is clear on this point: If you are a whistleblower who reports a possible violation to the Securities and Exchange Commission (SEC), the company cannot retaliate against you. [read post]
15 Mar 2012, 1:17 pm
According to a report this week in the Financial Times, the chief of the Securities Exchange Commission’s new Whistleblower Office, Sean McKessey, stated that the SEC has “received notes, audio recordings of conversations and simple recollections” of securities fraud and other wrongdoing since a new whistleblower reward program promising rewards for whistleblowers began last year. [read post]
5 Dec 2011, 8:14 am
The Securities and Exchange Commission (SEC) has implemented a new program -- called the Aberrational Performance Inquiry (API) -- that has resulted in enforcement proceedings against three hedge funds for overstating material aspects of their business. [read post]
15 Jun 2011, 2:31 pm
Securities and Exchange Commission today announced that victims of Allen Stanford's Ponzi scheme are entitled to the protections of the Securities Investor Protection Act of 1970, which means they may be entitled to get their money back. [read post]
28 Jul 2023, 1:02 pm
In August of 2021, The Securities and Exchange Commission stated that John J. [read post]
15 Dec 2017, 6:27 am
The Special Counsel is an investigative and prosecutorial office; it is not a truth commission. [read post]
23 May 2022, 8:54 am
But what if you and another colleague both decide to go to the Securities and Exchange Commission (SEC) and become joint whistleblowers? [read post]
23 May 2022, 9:08 am
Of those who provide tips to the Securities and Exchange Commission (SEC) whistleblowing program, an estimated 20% are anonymous when they submit their information. [read post]
27 Sep 2011, 8:46 am
Republicans in the House and the Senate have introduced legislation requiring the Securities and Exchange Commission and other financial watchdogs to conduct a formal cost-benefit analysis, including a report by economists, before issuing any new rule. [read post]
6 May 2010, 11:18 am
Dennis Berman of the WSJ explains: The Securities and Exchange Commission is examining the disclosures Berkshire Hathaway Inc. made about its $26 billion purchase of Burlington Northern Santa Fe Corp. railroad, said people familiar with the matter. [read post]
