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4 Jun 2025, 11:25 am
The Securities and Exchange Commission today published a concept release soliciting public comment on the definition of foreign private issuer. [read post]
29 May 2025, 10:25 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 5, 2025, at 10 a.m. [read post]
2 Jun 2025, 9:00 am
The Securities and Exchange Commission today announced that Natalia Díez Riggin has been named Senior Advisor and Director of the agency’s Office of Legislative and Intergovernmental Affairs. [read post]
10 Jun 2025, 7:06 am
The Securities and Exchange Commission today announced that Natasha Vij Greiner, Director of the Division of Investment Management, will depart the agency effective July 4, 2025, after more than 23 years of public service. [read post]
11 Jun 2025, 12:15 pm
The Securities and Exchange Commission today announced the agenda and panelists for the June 26, 2025, roundtable on executive compensation. [read post]
13 Jun 2025, 6:30 am
The Securities and Exchange Commission today announced that investment management industry leader Brian T. [read post]
13 Jun 2025, 6:00 am
The Securities and Exchange Commission today announced the appointment of Jamie Selway, an accomplished financial markets leader, as Director of the Division of Trading and Markets, effective June 17, 2025. [read post]
11 Aug 2016, 10:33 am
Court of Appeals for the DC Circuit held that the administrative law judges (ALJ) employed by the Securities and Exchange Commission were not “Officers” as that term is employed by the Constitution because their actions were also subject to review by the Commission. [read post]
29 Jun 2022, 6:31 am
., a divided Fifth Circuit panel vacated the Securities and Exchange Commission’s (the “Commission” or the “SEC”) affirmation of an SEC administrative law judge’s (“ALJ”) determination that Jarkesy and Patriot28, LLC committed securities fraud. [1] The panel found that (1) the in-house adjudication of the case violated Petitioners’ Seventh Amendment right to a jury trial, (2) Congress… [read post]
29 Jun 2022, 6:31 am
., a divided Fifth Circuit panel vacated the Securities and Exchange Commission’s (the “Commission” or the “SEC”) affirmation of an SEC administrative law judge’s (“ALJ”) determination that Jarkesy and Patriot28, LLC committed securities fraud. [1] The panel found that (1) the in-house adjudication of the case violated Petitioners’ Seventh Amendment right to a jury trial, (2) Congress… [read post]
13 Sep 2023, 2:06 pm
While the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the California Department of Corporations (DOC), and even prosecutors can investigate your allegations against a brokerage firm or investment adviser, if you want to maximize your chances for a full financial recovery, your best bet is to retain the services of a respected San Francisco securities law firm that knows how to fight for you. [read post]
26 May 2011, 8:16 am
The final rules for the Securities and Exchange Commission's whistleblower reward program contain provisions that will protect and encourage those who report fraud.Erika Kelton of Phillips and Cohen told the New York Times that employees almost always report their concerns about misconduct and fraud to managers and supervisors first. [read post]
18 Sep 2009, 10:56 am
Securities and Exchange Commission (SEC) also voted yesterday to take a number of measures with the intent of increasing the oversight of credit ratings agencies. [read post]
7 Aug 2008, 8:49 pm
Today a task force of state securities regulators, the Securities and Exchange Commission and Citigroup announced a settlement, in principle, related to auction-rate securities marketed and sold by Citigroup. [read post]
11 Jan 2008, 3:53 pm
The Securities and Exchange Commission is accusing Thompson of erasing documents, e-mails, and instant messages from his computer's hard drive even though he knew that the records had been requested by the commission. [read post]
20 Apr 2015, 10:00 am
On April 1, 2015, the Securities & Exchange Commission (the “SEC” or “Commission”) fined a public company $130,000 for requiring employees involved in internal investigations to sign a confidentiality agreement that the Commission deemed violative of the whistleblower protections contained in the Dodd-Frank Act. [read post]
23 Nov 2010, 5:44 pm
Three individuals, Judith Welling, Robert Mick, and Charles Mederrick, have filed a purported securities class action against the Securities and Exchange Commission over financial losses related to investments they made in Bernard L. [read post]
21 May 2019, 6:11 am
According documents filed by The Securities and Exchange Commission’s (SEC) it appears that some of the victims were brought to 1st Global by brokers who formerly worked for Taylor Capital Management (Taylor Capital). [read post]
24 Sep 2015, 6:18 am
Securities and Exchange Commission. [read post]
26 Jun 2015, 1:17 pm
Securities and Exchange Commission has provided it with a “Wells” notice. [read post]
