Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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4 Aug 2017, 9:08 am
Most ICO’s in the United States have been conducted without registration under U.S. securities laws. [read post]
25 Oct 2022, 5:56 pm
Coin Telegraph: “…No matter how much attention the United States Securities and Exchange Commission (SEC) or Commodity Futures Trading Commission gets in the crypto industry, for individual traders and investors, it often comes down to the Internal Revenue Service’s (IRS) position — and how much tax one owes. [read post]
27 May 2011, 9:00 am
Article 20 also provides that the treaty will enter into force on the date of exchange of the instruments of ratification. [read post]
12 Apr 2012, 1:08 am
Section 929P(b)(2) provide extraterritorial effect for these types actions when certain defined types of conduct take place in the United States or when it takes place outside the United States with a foreseeable effect in the U.S. [read post]
23 Oct 2013, 3:27 pm
§ 78j(b), and Securities & Exchange Commission (“SEC”) Rule 10b-5, 17 C.F.R. [read post]
Stanford Ponzi Scam Investors File Class Action Lawsuit Suing The Securities and Exchange Commission
25 Jul 2012, 8:22 pm
United States (PDF) Robert Juan Dartez LLC v. [read post]
Stanford Ponzi Scam Investors File Class Action Lawsuit Suing The Securities and Exchange Commission
25 Jul 2012, 8:22 pm
United States (PDF) Robert Juan Dartez LLC v. [read post]
21 Dec 2017, 9:28 am
The Securities and Exchange Commission (“SEC”), through its new Cyber Unit, recently obtained an emergency asset freeze against Dominic Lacroix, his partner, Sabrina Paradis-Royer, and his company, PlexCorps, for a fraudulent Initial Coin Offering (“ICO”). [read post]
15 Sep 2015, 6:07 am
On September 8, 2015, the Securities and Exchange Commission (“SEC”) charged Ross Shapiro, Michael Gramins, and Tyler Peters with violating Section 10(b) of the Securities and Exchange Act of 1934, and Rule 10b-5 and Sections 17(a) of the Securities Act of 1933. [read post]
2 Jun 2011, 1:00 pm
PROTOCOL TO THE TREATY BETWEEN ROMANIA AND THE UNITED STATES OF AMERICA ON MUTUAL LEGAL ASSISTANCE IN CRIMINAL MATTERS OVERVIEW The Protocol to the Treaty between Romania and the United States of America on Mutual Legal Assistance in Criminal Matters (the ‘‘Protocol’’) serves to implement, as between the United States and Romania, the provisions of the 2003 Agreement on Mutual Legal Assistance between the United… [read post]
22 Jul 2009, 9:43 am
On July 21, 2009, the Securities and Exchange Commission ("SEC") filed a Complaint against Morgan Keegan & Company, Inc. in the United States District Court for the Northern District of Georgia for misleading investors about the liquidity risks of auction rate securities that it sold. [read post]
3 Feb 2017, 3:17 am
Purple SEC HazeIn Securities and Exchange Commission, Plaintiff, v. [read post]
30 Apr 2018, 1:35 pm
Purple SEC HazeIn Securities and Exchange Commission, Plaintiff, v. [read post]
25 Jan 2017, 5:24 am
Securities and Exchange Commission, Respondent, the United States Court of Appeals for the District of Columbia Circuit admonished the Securities and Exchange Commission that the federal regulator's imposition of a collateral bar for pre-Dodd Frank misconduct was an impermissible retroactive sanction. [read post]
16 May 2016, 5:33 am
On May 19, 2016, the Securities and Exchange Commission (“SEC”) filed an insider trading civil Complaint in the United States District Court for the Southern District of New York (“SDNY”). [read post]
10 May 2011, 1:00 pm
Article 24 provides that the Treaty will enter into force immediately upon the exchange of the instruments of ratification. [read post]
10 Aug 2020, 6:31 am
The Securities and Exchange Commission held a roundtable on July 9, 2020 on investing in emerging markets. [read post]
28 Jul 2017, 11:36 am
Nearly all of these token sales have been characterized by their promoters as the sales of digital assets or currencies, rather than as the sale of securities, and have not been registered as securities in the United States. [read post]
28 Jul 2017, 11:36 am
Nearly all of these token sales have been characterized by their promoters as the sales of digital assets or currencies, rather than as the sale of securities, and have not been registered as securities in the United States. [read post]
10 May 2011, 9:00 am
Ratifications were exchanged on December 5, 1963. [read post]
