Search for: "In Re Securities and Exchange Commission"
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27 Aug 2023, 7:49 pm
Western International Allegedly Failed to Supervise REIT Sales June 2022 – The Securities and Exchange Commission charged Western International Securities and five of its brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings, an unrated, high-risk debt security to… [read post]
18 Feb 2022, 6:02 am
Background To address Section 953(a) of the 2010 Dodd-Frank Act, the Securities and Exchange Commission (SEC) published Proposed Rules in 2015 to address the Act’s stipulation that companies disclose information to show the relationship between actual compensation paid to executives and a company’s financial performance. [read post]
9 May 2011, 7:59 am
Anyone but the most trusting investor recognizes that Securities and Exchange Commission filings contain more than a little puffery and marketing folderol, especially when it comes to executive pay and benefits. [read post]
12 Apr 2012, 12:19 pm
Very helpfully, the Securities and Exchange Commission, moving very quickly, has issued several sets of frequently asked questions about the Jumpstart our Business Startups (JOBS) Act signed into law last week. [read post]
3 Nov 2006, 10:43 pm
As noted by MINURSO, "while the organisation of the referendum has not been possible to date, other requirements of the mandate such as the exchange of prisoners of war and the identification of voters have been pursued successfully. [read post]
11 Feb 2011, 8:00 am
The lawsuit brought against the Securities and Exchange Commission last fall by the U.S. [read post]
1 Mar 2018, 3:33 pm
On February 21, the Securities and Exchange Commission issued new Interpretive Guidance regarding disclosures of cybersecurity-related information by publicly traded companies. [read post]
17 Dec 2008, 4:48 pm
Christopher Cox, a Republican United States representative from Orange County, Calif., and a Republican, was sworn in as the 28th chairman of the Securities and Exchange Commission in August 2005. [read post]
23 May 2011, 5:05 am
The underlying actions were brought by persons who had purchased mortgage pass-through certificates, registered with the Securities and Exchange Commission (“SEC”) and entitling them to distributions from underlying pools of mortgages. [read post]
9 Sep 2012, 3:44 pm
On August 29, 2012, the Securities and Exchange Commission (the SEC) issued proposed amendments to Rule 506 of Regulation D and Rule 144A to implement Section 201(a) of the JOBS Act. [read post]
21 Feb 2010, 6:18 am
Securities and Exchange Commission. [read post]
15 Nov 2021, 10:39 am
Securities and Exchange Commission (SEC) Chair Gensler at the Institutional Limited Partners Association Summit and an SEC Division of Examinations (EXAMS) Risk Alert published on the same day highlight the ongoing focus of the SEC on advisory fees, both in the institutional and retail spaces. [read post]
22 Jul 2019, 3:00 am
Here’s an excerpt from this GCN article: The Securities and Exchange Commission also issued a sources sought notice for a commercial, off-the-shelf social media monitoring subscription to help it track emerging risk areas and activities of market participants to identify potential securities law violations. [read post]
11 Feb 2010, 1:03 pm
Message to Silicon Valley execs: If the Securities and Exchange Commission calls with questions, don’t try to answer them on the spot, especially if you are going to try stuff like denying you know someone that you live with. [read post]
21 Oct 2022, 10:05 am
According to the Securities and Exchange Commission (SEC), it was a classic “pump and dump” scheme. [read post]
3 Jul 2008, 2:26 pm
A corporation which desires to cooperate either with a civil investigative agency, such as the Securities Exchange Commission, or a prosecutive authority, such as the local U.S. [read post]
20 Jun 2023, 9:01 pm
On June 7, 2023, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation M, replacing the investment-grade exceptions for non-convertible debt or preferred equity securities with credit risk exceptions based on a specified probability of default threshold assessed by the lead manager in writing pursuant to a structural credit risk model.[1] The amendments also require broker-dealers relying upon the new exceptions to… [read post]
30 Oct 2017, 3:00 am
Here’s an excerpt: The Securities and Exchange Commission on Thursday signaled a pivot away from the prosecutorial approach to enforcement that the agency pursued after the financial crisis. [read post]
2 Sep 2022, 8:25 am
When the Securities and Exchange Commission (SEC) warns investors of types of investment scams—such as boiler room and Ponzi schemes—the agency routinely mentions the high-pressure aggressive sales tactics scammers rely on to help defraud their customers. [read post]
22 Dec 2009, 1:42 pm
Banc of America Securities LLC (In re Short Sale Antitrust Litigation), 2009 WL 4350035 (2d Cir. [read post]
