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12 Aug 2020, 10:00 pm
The US Securities and Exchange Commission on August 5 proposed a new disclosure framework for mutual and exchange-traded funds that seeks to replace the current disclosure delivery framework—for annual prospectus updates and annual and semi-annual shareholder reports—with streamlined shareholder reports delivered semi-annually that contain simplified information in a user-friendly format. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
25 Sep 2008, 3:57 pm
Even so, it was among nine companies added Thursday to the Securities and Exchange Commission’s fast-growing [...] [read post]
13 Jun 2023, 5:44 pm
One of the first rounds in the clash between the Securities and Exchange Commission and Binance is giving the exchange’s users an uncomfortably close front row — and it might have them wondering if they should keep their funds or flee.The answer boils down to the risk a person can stomach, experts say. [...] [read post]
17 Apr 2006, 8:12 am
[corporate website; JURIST news archive] has agreed to pay the US Securities and Exchange Commission [official website] a $50 million civil penalty [Tyco press release] and a $1 disgorgement fee for fraudulent accounting procedures used between 1996 through 2002, Tyco and SEC officials announced Monday. [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
23 May 2022, 5:45 pm
Securities and Exchange Commission (SEC) has charged Allianz Global Investors U.S. [read post]
22 Nov 2011, 7:50 pm
The Securities and Exchange Commission (the "Commission") charged a Canadian resident and his New Hampshire business with operating a fraudulent Ponzi scheme that took in over $1 million from investors. [read post]
15 Mar 2017, 4:26 am
The US Securities and Exchange Commission (SEC) handed a blow to the cryptocurrency when it denied an application by the Winklevoss twins (of Social Network fame) to create an exchange-traded fund (ETF) based on Bitcoin called the Bats BZX Exchange. [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]
25 Feb 2014, 10:02 am
The leaders of the Securities and Exchange Commission addressed the public on February 21-22 at the annual SEC Speaks conference in Washington, D.C. [read post]
28 Nov 2022, 3:50 am
United States Securities and Exchange Commission, Defendant (Complaint, SDNY)FTX Was Not Regulated: John Reed Stark (Bloomberg Crypto Show) Wall Street Whistleblowers Tip Off SEC -- But Hear Nothing Back (Bloomberg, DEEP DIVE by John Holland) DOJ RELEASES Wisconsin Man Indicted for $35 Million Bank Fraud Scheme (DOJ Release) Man... [read post]
28 Nov 2022, 3:50 am
United States Securities and Exchange Commission, Defendant (Complaint, SDNY)FTX Was Not Regulated: John Reed Stark (Bloomberg Crypto Show) Wall Street Whistleblowers Tip Off SEC -- But Hear Nothing Back (Bloomberg, DEEP DIVE by John Holland) DOJ RELEASES Wisconsin Man Indicted for $35 Million Ban... [read post]
9 Jan 2012, 11:08 am
The Securities and Exchange Commission (SEC) recently filed a cease-and-desist order against an Illinois man, Anthony Fields, for scamming investors with a fictitious securities offering. [read post]
16 Feb 2018, 9:16 am
In recent months, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) have issued warnings to those involved in cryptocurrencies, initial coin offerings, and token generation events. [read post]
1 Nov 2022, 12:15 am
The Securities and Exchange Commission's last week adopted rules requiring the securities exchanges to adopt listing standards requiring listed companies to develop and implement policies providing for the recovery of erroneously awarded incentive-based compensation received by current or former executive officers. [read post]
1 Feb 2008, 11:24 pm
A prediction market is like a securities exchange; but instead of trading stocks, market participants trade “contracts” that designate whether an unambiguous future event will occur. [read post]
17 Mar 2020, 2:58 am
Securities and Exchange Commission, the answer is at least two. [read post]
