Search for: "US Securities and Exchange Commission"
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26 Apr 2021, 9:53 am
The political currents that have roiled US society often are echoed in the policy choices made by the Securities and Exchange Commission. [read post]
8 Apr 2024, 8:23 am
On 4 April 2024, the International Organisation for Securities Commissions (IOSCO) published a Consultation Report titled Evolution in the Operation, Governance and Business Models of Exchanges: Regulatory Implications and Good Practices. [read post]
4 Mar 2010, 5:17 pm
On March 4, 2010, the Securities and Exchange Commission filed a complaint against a purported psychic who fraudulently raised $6 million after telling investors he could predict stock market highs and lows. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
6 Feb 2015, 1:46 pm
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recently released its annual examination priorities. [read post]
6 Feb 2015, 1:46 pm
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recently released its annual examination priorities. [read post]
9 Sep 2020, 1:48 pm
Barred Ohio Stockbroker Accused of Over 500 Unsuitable Exchange Traded Fund Transactions Dominic Anthony Tropiano, a former registered broker in Ohio, is now facing US Securities and Exchange Commission (SEC) fraud charges. [read post]
2 Apr 2019, 6:08 am
Securities and Exchange Commission (“SEC”). [2] In addition, the Advisory builds upon and incorporates the CFTC’s January 2017 and September 2017 Enforcement Advisories, which promised meaningful reductions in penalties where a company or individual self-reports, fully cooperates, and takes remedial measures (see our January 2017 and September 2017 client briefings). [read post]
23 Nov 2020, 6:31 am
(“IMVU”) received no-action relief from the Securities and Exchange Commission (the “SEC”) confirming that the Division of Corporate Finance will not recommend enforcement action against IMVU for selling its digital asset, VCOIN. [read post]
27 Aug 2008, 6:40 pm
The Securities and Exchange Commission moved Wednesday to allow some large American companies to begin using international accounting standards as early as next year, and to require all American companies to do so by 2016. [read post]
12 Mar 2007, 12:04 pm
[JURIST] The US Securities and Exchange Commission (SEC) [official website] filed fraud charges [press release] Monday against former executives of Canadian telecommunications manufacturer Nortel Networks [corporate website; JURIST news archive], accusing the corporation of misleading investors. [read post]
23 Sep 2022, 7:47 am
On September 15, 2022, the Department of Justice (DOJ) and the United States Securities and Exchange Commission (SEC) announced that GOL Linhas Aéreas Inteligentes S.A. [read post]
8 Mar 2019, 9:44 am
Brokerage firm and investment adviser BB&T Securities has agreed to give back over $5M to retail investors, as well as pay the US Securities and Exchange Commission (SEC) a $500K penalty, to resolve charges that Valley Forge Asset Management misled advisory clients into thinking they were getting complete “full-service brokerage services in-house” at an up to 70% reduced rate, even as less costly alternatives were available. [read post]
17 Dec 2010, 5:53 am
Sawyers (andquot;Sawyersandquot;), former employees of Wachovia Securities, L.L.C., now known as Wells Fargo Advisors, were charged on December 15, 2010 by theandnbsp;United States Securities and Exchange Commission with securities fraud. [read post]
16 Sep 2009, 4:00 am
In short, the model used by the NYSE and Nasdaq where they have the exclusive authority to decide listing issues (but see Rule 10A-3 and possible Commission authority to delist if the exchanges do not enforce their audit committee rules) is not necessarily the only model employed by stock exchanges globally. [read post]
