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30 Apr 2015, 12:54 pm
On April 29, the Securities and Exchange Commission published proposed rules that would require non-United States persons that use United States personnel to arrange, negotiate or execute a security-based swap transaction in connection with its dealing activity to include such transaction for purposes of the de minimis exception set forth in Exchange Act Section 3(a)(71)(D). [read post]
1 Aug 2017, 5:53 pm
On July 25, 2017, the US Securities and Exchange Commission (“SEC”) issued an investigative report stating that US securities laws apply to sales of securities in the United States purchased with virtual currencies or distributed with blockchain technology. [read post]
26 May 2022, 9:08 am
The US Securities and Exchange Commission (SEC) has been increasingly vocal about its view that environmental, social and governance (ESG) disclosures can be material to investors. [read post]
23 Oct 2020, 8:11 am
The Securities and Exchange Commission looked at the fact that the US equity market capitalization has grown from $1 trillion to an $35 trillion and decided that it was time to raise the disclosure limit. [read post]
6 Mar 2015, 6:04 am
Securities and Exchange Commission. [read post]
9 May 2011, 10:00 am
Attorney for the District of Colorado; Robert Khuzami, Director of Enforcement for the Securities and Exchange Commission; Jean Woodford, First Assistant Attorney General for Securities and Financial Fraud; Fred Joseph, Commissioner of the Colorado Division of Securities; and Julie Lutz from the Securities and Exchange Commission. [read post]
30 May 2010, 2:50 pm
Securities and Exchange Commission (SEC). [read post]
7 Apr 2011, 3:15 pm
Today, the Securities and Exchange Commission (SEC) announced the filing of a civil securities fraud lawsuit against Southern California wealth advisory firm MAM Wealth Management, LLC (MAM), MAMW Real Estate General Partner, LLC (MAMW), Alex Martinez and Ralph Sanchez. [read post]
13 Nov 2010, 6:16 am
Securities and Exchange Commission. [read post]
9 May 2011, 8:00 am
The first presentation of the 43rd Annual Rocky Mountain Securities Conference was a presentation by Commissioner Troy Paredes of the Securities and Exchange Commission. [read post]
26 Nov 2009, 7:15 pm
Updated for two additional notes to the SEC at bottom of post To the Securities and Exchange Commission: Recently, Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
24 Jun 2024, 6:00 am
On June 18, 2024, the US Securities and Exchange Commission announced a settlement with R.R. [read post]
2 Feb 2007, 12:33 am
Data on the risks and returns of individual mutual funds would be available in a new, interactive electronic format with the potential to help investors make better decisions, under a proposal made Wednesday by the Securities and Exchange Commission. [read post]
22 Jul 2007, 11:06 am
Congress addressed foreign securities exchanges under the PSLRA in 15 U.S.C. [read post]
22 May 2019, 9:02 am
The US Securities and Exchange Commission (SEC) has filed civil charges against Charles Nilosek for acting as an unregistered broker and illegally selling Woodbridge securities to retail investors. [read post]
8 Sep 2021, 6:54 am
Securities and Exchange Commission. [read post]
31 Jan 2018, 4:00 am
The Securities and Exchange Commission barred the man after he failed to respond to their inquiries. [read post]
9 May 2012, 7:00 am
The staff of the Securities and Exchange Commission (“SEC”) recently released a study on the cross-border scope of the private right of action under Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”), 15 U.S.C. [read post]
14 Nov 2023, 4:30 pm
Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. [read post]
8 Jan 2022, 7:10 am
On December 2, 2021, the US Securities and Exchange Commission (SEC) issued new rules which further implement requirements and clarified the timing related to the potential mandatory trading suspension of Chinese companies listed on US stock exchanges beginning in 2024. [read post]