Search for: "Securities and Exchange Commission"
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28 May 2010, 10:24 am
Mark Radke, a onetime chief of staff to the chairman of the Securities and Exchange Commission, has joined Arent Fox as a partner in Washington. [read post]
20 Jun 2023, 7:54 am
The Oklahoma Supreme Court has accepted an attorney's resignation The United States Securities and Exchange Commission filed a complaint in federal court against Respondent, claiming violations of various securities laws. [read post]
5 Jul 2019, 2:05 pm
Evidence from SEC Financial Fraud Investigations on SSRN with the following abstract: The Securities and Exchange Commission (SEC) routinely investigates firms for financial fraud,... [read post]
6 Jan 2010, 2:46 am
See Securities and Exchange Commission v. [read post]
24 May 2023, 4:00 pm
Over the last several years, the Securities and Exchange Commission (the “SEC”) and the Commodities Futures Trading Commission (“CFTC”) have been laser-focused on the use of so called “off-channel communications” in the financial services industry. [read post]
12 Jul 2019, 2:05 pm
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, the Alberta Securities Commission, the Cyprus Securities and Exchange Commission, the Financial Conduct Authority of the United Kingdom, the Monetary Authority of Singapore, the Ontario Securities Commission, the Securities and Commodities Authority of the United Arab Emirates, the Securities and Futures Commission of Hong… [read post]
27 Jun 2020, 6:54 am
Securities and Exchange Commission. [read post]
13 Sep 2014, 6:00 am
It does not address other potential sources of liability and sanction, such as federal mail and wire fraud statutes, state fraud statutes and common law remedies, RICO and the United States Securities and Exchange Commission’s (“SEC”) disciplinary powers. [read post]
29 Aug 2014, 6:00 am
Securities and Exchange Commission. [read post]
17 Nov 2010, 5:00 am
Sources: Securities and Exchange Commission’s FY 2010 Performance and Accountability Report SEC’s Strategic Plan for Fiscal years 2010-2015 [read post]
13 Aug 2009, 3:53 am
Here is the abstract: This essay, prepared for the Virginia Law Review symposium marking the 75th anniversary of the Securities Exchange Commission, explores the mechanisms through which the Roosevelt Administration secured the Supreme Court's approval of various features of the New Deal's securities law program. [read post]
30 Oct 2018, 7:05 am
This type of fraud arises out of allegations that losses are due to misconduct or causes unrelated to market forces and is governed by the Securities Exchange Commission, also known as the SEC. [read post]
17 Aug 2011, 6:11 am
Securities and Exchange Commission. [read post]
23 Apr 2010, 9:06 am
Alpha ATS announced yesterday that it is seeking regulatory approval from the Ontario Securities Commission (OSC) to become a recognized exchange. [read post]
8 Sep 2014, 10:09 am
The Dodd-Frank Act called for the creation of the office and requires the Investor Advocate to appoint an ombudsman who will act as a liaison in resolving problems that retail investors may have with the Commission or self-regulatory organizations. [read post]
16 Apr 2013, 8:42 am
This alert provides an overview of the Staff of the Securities and Exchange Commission’s address of frequently asked questions regarding Rule 15a-6 and foreign broker-dealers. [read post]
23 Aug 2023, 8:36 am
The Securities and Exchange Commission today adopted rule amendments that narrow the exemption from Section 15(b)(8) of the Securities Exchange Act of 1934, which requires any broker or dealer registered with the Commission to become a member of a…Read the Full Press Release Have a securities law question? [read post]
29 Jul 2022, 12:15 pm
The Securities and Exchange Commission today re-proposed rule amendments that would narrow the exemption from Section 15(b)(8) of the Securities Exchange Act, which requires any broker or dealer registered with the Commission to become a member of a…Read the Full Press ReleaseHave a securities law question? [read post]
4 Aug 2017, 5:55 am
As a recent press release issued by the Securities and Exchange Commission indicates, on July 31, 2017 the Securities and Exchange Commission (SEC) filed a civil complaint charging four former Atlanta-area brokers — Christopher S. [read post]
20 Apr 2012, 1:32 pm
The SEC announced that beginning on April 19, 2012, the SEC staff will begin to republish via EDGAR Commission orders pursuant to Exchange Act Section 12(j) revoking a company’s Exchange Act registration and Commission stop orders pursuant to Securities Act Section 8. [read post]
