Search for: "U. S. Securities and Exchange Commission"
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26 Aug 2014, 10:43 pm
He was accused by the Securities and Exchange Commission (SEC) of violating Section 17(a)(2) of the Securities Act of 1933. [read post]
14 Aug 2014, 4:09 pm
The SEC’s stated policy is to require broker-dealer registration of anyone who receives a commission or other compensation in connection with the sale of securities, unless an exemption is available. [read post]
5 Aug 2014, 6:51 pm
Human Rights Commission's Management Plan for the next several years. [read post]
10 Jul 2014, 9:32 am
The prosecution is the result of an investigation by the Federal Bureau of Investigation, Securities and Exchange Commission, and the Monterey County District Attorney’s Office. [read post]
25 Jun 2014, 9:58 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
6 Jun 2014, 6:08 am
[National Law Journal] * Even though she claims nothing is “fundamentally broken,” Securities and Exchange Commission chairwoman Mary Jo White proposed “sweeping” new stock market regulations in an attempt to get with the times. [read post]
5 Jun 2014, 11:52 am
Such is the case with recent Securities and Exchange Commission (SEC) investigation into the actions of a former stock promoter, Robert J. [read post]
19 May 2014, 4:42 am
The attorneys at Gana LLP are experienced in representing investors to recover their financial losses concerning in cases of securities fraud. [read post]
15 May 2014, 3:14 am
Securities and Exchange Commission issued proposed regulations in October 2013 to implement the exemption (the “Proposed CF Regulations”). [read post]
5 May 2014, 6:34 am
The Securities and Exchange Commission shut down another one of these scams. [read post]
1 May 2014, 5:14 am
Securities and Exchange Commission, the court concluded that the provision of the […] [read post]
25 Mar 2014, 8:03 pm
Some investors and taxpayers took matters into their own hands – among them, the Winklevoss twins (yes, the ones from Facebook) who made up their own rules when they filed with the Securities and Exchange Commission for their Winklevoss Bitcoin Trust. [read post]
10 Mar 2014, 9:01 pm
Gox’s rescue, regulars have turned their gaze to other Bitcoin exchanges and the future of such activity. [read post]
6 Mar 2014, 12:28 pm
Securities and Exchange Commission filed related civil fraud charges against the three men and former finance director Frank Canellas, 34, and former controller Thomas Mullikin, 43, for cheating 13 insurers that took part in a $150-million bond offering in 2010.Another defendant, client relations manager Zachary Warren, 29, was also criminally charged.At a press conference, Vance said Dewey’s finance department ran a “blatant accounting fraud and… [read post]
13 Feb 2014, 1:45 pm
In this article, we will answer some of the most frequently asked questions we receive from our clients using EB-5 financing for their projects, and offer some practical guidelines for regional centers and project developers to conduct EB-5 investment offerings in compliance with the regulations and policies of the Securities and Exchange Commission (“SEC”). [read post]
10 Feb 2014, 9:28 pm
The Securities and Exchange Commission, for example, would never mandate or likely countenance that an investor’s counsel represent the interests of an issuer of securities, or vice-versa. [read post]
15 Jan 2014, 12:11 am
Here is Eric and Jennifer’s guest post: On the heels of the London Interbank Offered Rate (Libor) scandal, regulators appear to have found a new area of potential improprieties with regard to the foreign exchange market (frequently referred to as “Forex” or “FX”). [read post]
13 Jan 2014, 8:28 pm
Their Bitcoin investments are soaring and in their July filing with the Securities and Exchange Commission for their Winklevoss Bitcoin Trust, they note that “[t]here are no regulations, rulings or other authority that address the US federal income tax treatment of Bitcoins” and suggest that “[u]nder one reasonable approach, a Bitcoin should be treated as a capital asset (and not as “currency”). [read post]
8 Jan 2014, 10:04 am
Gorman from Dorsey & Whitney’s DC office, and former Senior Counsel at the Division of Enforcement of the Securities and Exchange Commission, where he helped lead FCPA enforcement. [read post]
27 Dec 2013, 12:14 pm
According to the Securities and Exchange Commission’s website, the SEC recently announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Ronald Gene Anglin (Anglin), a resident of Canyon Country, California. [read post]
