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8 Oct 2013, 3:00 am
This new, hard-nosed SEC stance (championed since June) likely took shape after Judge Rakoff’s opinion in SEC v. [read post]
23 Jan 2012, 5:00 am
In SEC v. [read post]
7 Nov 2014, 1:37 pm
The post SEC Crackdown on Undisclosed Unregistered Offerings appeared first on Andrew Abramowitz, PLLC. [read post]
19 Feb 2007, 6:49 am
Chairman Cox Opens SEC Speaks ConferenceThe always informative Practising Law Institute's "SEC Speaks" conference was recently held in Washington, DC. [read post]
6 Sep 2011, 12:30 pm
The lawyer for SEC staff attorney and whistleblower Darcy Flynn says in a letter to SEC Chair Schapiro and the SEC Inspector General that the agency is still destroying agency records contrary to law. [read post]
6 Jun 2024, 3:25 am
The event will also be publicly webcast and include panel discussions featuring former SEC chairs and experts on the history of the SEC. [read post]
8 Mar 2023, 12:31 pm
During her time as an SEC Commissioner, Lee repeatedly voiced her support for the whistleblowers and the SEC Whistleblower Program in particular. [read post]
19 May 2022, 4:15 am
SEC Chair Gensler appeared before Congressional committees this week to present the SEC’s fiscal year 2023 budget request. [read post]
16 Sep 2021, 7:48 am
Securities and Exchange Commission (“SEC”) has announced that it has now paid more than $1 billion to whistleblowers since the inception of the SEC’s whistleblower program. [read post]
19 Jan 2023, 4:11 am
The SEC continues to make cryptocurrency-related enforcement a top priority under Chair Gary Gensler, bringing 30 enforcement actions against digital-asset market participants in 2022, up 50% from the 20 actions brought in 2021 and the highest number since 2013, according to a Cornerstone Research report released today.The report, SEC Cryptocurrency Enforcement: 2022 Update, found that the SEC brought 24 litigation actions in U.S. federal courts and six administrative… [read post]
2 Jun 2023, 10:21 am
It also saved the SEC significant time and resources. [read post]
13 Nov 2023, 11:52 am
In speeches in July and September, activist SEC Chair Gary Gensler has staked out an alleged case for SEC regulation of the new breed of Artificial Intelligence. [read post]
15 Jun 2016, 6:10 am
Securities and Exchange Commission (SEC or Commission). [read post]
16 Jul 2010, 8:13 am
In addition to charging the firm, the SEC brought charges against banker Fabrice Tourre. [read post]
4 Sep 2009, 4:37 am
In a statement issued by SEC Chairman Mary L. [read post]
4 Apr 2014, 3:19 am
In this 90-second video, I explain how multimedia can be filed on the SEC's EDGAR as part of a SEC filing. [read post]
21 Dec 2012, 5:49 am
SEC Enforcement Chief Khuzami to Leave? [read post]
27 Apr 2010, 4:43 pm
Now, a new investigation by the SEC itself has revealed that SEC staffers were spending their time downloading and watching porn on their computers. [read post]
28 Oct 2021, 2:01 am
What is the likelihood that Haugen’s SEC filings turn into an investigation into the company? [read post]
8 Dec 2021, 5:16 am
Read: SEC Issues Whistleblower Nearly $5 Million Award Read more SEC news on WNN The post SEC Awards $5 Million to Whistleblower Who Disclosed Misuse of Offering Proceeds appeared first on Whistleblower Network News. [read post]
