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11 Sep 2020, 9:26 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5434/securities-industry-commentator/Former Foreign Exchange Trader Sentenced To Prison For Price Fixing And Bid Rigging (DOJ Release)In the Matter of the Claims for an Award in Connection with Redacted (SEC Order Determining Whistleblower Award Claim)Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset… [read post]
8 Dec 2015, 10:30 am
Under Dodd-Frank, the Office of the Whistleblower was established for the Securities Exchange Commission (SEC) to encourage those who have information about securities and commodities laws violations to notify the authorities. [read post]
9 Apr 2010, 1:32 pm
Securities and Exchange Commission (SEC) announced proposals to revise the rules respecting asset-backed securities in order to "better protect investors in the securitization market. [read post]
6 Dec 2006, 6:34 pm
The International Securities Exchange [ISE] said on Dec. 6, 2006 that it filed a patent infringement lawsuit in SD NY against the Chicago Board Options Exchange [CBOE] concerning claims of its patent entitled "Automated Exchange for Trading Derivative Securities," issued on Sept. 9, 2003.A CBOE memo stated ISE's latest legal action appears to be related to a suit in which the CBOE, McGraw-Hill Cos. and Dow Jones & Co.… [read post]
20 Jul 2011, 9:38 am
Gerlak, Jonathan Lautze & Mark Giordano, Water resources data and information exchange in transboundary water treaties [read post]
3 Feb 2009, 2:13 am
The English Court of Appeal has shown its readiness to cooperate with foreign regulators – in this case, the US Securities and Exchange Commission – by agreeing to freeze allegedly suspect assets.In the case of Securities and Exchange Commission v Manterfield [2009] EWCA Civ 27, the defendants, who were involved in an international investment fund, appealed against the High Court's decision to continue a worldwide freezing order… [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]
13 Nov 2013, 11:11 am
Over at Just Security, David Cole rounds out our exchange on global international privacy rights. [read post]
1 Dec 2008, 9:52 am
Last month, the United States Securities and Exchange Commission (“SEC”) issued a release (“Release”) setting forth a roadmap (“Roadmap”) for the potential use by U.S. issuers of financial statements prepared in accordance with International Financial Reporting Standards (“IFRS”), as issued by the International Accounting Standards Board, rather than statements prepared in accordance… [read post]
20 May 2019, 1:48 pm
Securities and Exchange Commission and the U.S. [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]
25 Jan 2013, 8:50 am
Stamer served as a primary advisor to the Government of Bolivia on its pension privatization law, and has been intimately involved in federal, state, and international workforce, health care, pension and social security, tax, education, immigration, education and o [read post]
30 Oct 2006, 5:33 am
Securities and Exchange Commission in relation to its internal review of stock-option grants, the company said late Friday. [read post]
28 Sep 2023, 7:20 am
The Securities and Exchange Commission today announced charges against Anthony Viggiano, a former analyst at a major investment firm and later at an international investment bank, and Christopher Salamone, Stephen A. [read post]
29 Jun 2023, 10:16 am
The Securities and Exchange Commission today announced insider trading charges against Jordan Meadow, a registered representative for a New York-based broker-dealer, and Steven Teixeira, the Chief Compliance Officer of an international payment processing…Read the Full Press Release Have a securities law question? [read post]
25 Aug 2023, 8:06 am
After initially reporting misconduct internally, the whistleblower…Read the Full Press Release Have a securities law question? [read post]
14 Dec 2022, 12:55 pm
The Securities and Exchange Commission today proposed a rule that would require certain orders of individual investors to be exposed to competition in fair and open auctions before such orders could be executed internally by any trading center that…Read the Full Press ReleaseHave a securities law question? [read post]
19 Dec 2022, 9:31 am
The Securities and Exchange Commission today announced charges against Honeywell International Inc. for violations of the Foreign Corrupt Practices Act (FCPA) arising out of bribery schemes that took place in Brazil and Algeria. [read post]
25 Aug 2023, 6:16 am
The Securities and Exchange Commission today announced that 3M Company agreed to pay more than $6.5 million to resolve charges that it violated the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA). [read post]
26 Nov 2019, 1:28 pm
The Securities and Exchange Commission today revoked the registration of New York-based investment adviser International Investment Group LLC (IIG), which the Commission recently charged with securities fraud for hiding losses in its flagship hedge fund…Read the Full Press ReleaseHave a securities law question? [read post]
