Search for: "Securities and Exchange Commission"
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16 Oct 2014, 3:13 pm
Securities and Exchange Commission’s first market manipulation case against a high-frequency trading firm. [read post]
3 Jan 2021, 10:00 pm
Investment advisers’ advertising and solicitation practices, and the media through which investment advisers communicate with clients and investors, have evolved considerably since the US Securities and Exchange Commission (SEC) adopted Rule 206(4)-1 (the Advertising Rule) in 1961 and Rule 206(4)-3 (the Cash Solicitation Rule) in 1979. [read post]
4 Sep 2024, 10:00 pm
The US Securities and Exchange Commission (SEC), by a 3-2 vote, recently adopted amendments to registered fund reporting requirements on Form N-PORT and Form N-CEN and provided guidance on open-end funds’ liquidity risk management programs. [read post]
6 Dec 2024, 6:40 am
The United States District Court for the District of Columbia (Judge Cooper) dismissed a lawyer v. lawyer fee fight without prejudice Florida-based lawyer George Lambert defended Nevada businessman Mykalai Kontilai in a lawsuit brought by the Securities and Exchange Commission... [read post]
30 Mar 2022, 10:00 pm
Per the Holding Foreign Companies Accountable Act, the US Securities and Exchange Commission has begun identifying public companies that retained audit firms that the Public Company Accounting Oversight Board has determined it cannot inspect completely due to a position taken by the authorities in a foreign jurisdiction. [read post]
2 Jul 2020, 10:00 pm
On Friday, July 3, the US Department of Justice (DOJ) Criminal Division and the Securities and Exchange Commission (SEC) published the Second Edition of A Resource Guide to the U.S. [read post]
23 Apr 2011, 10:26 am
The Securities and Exchange Commission has expanded the CFP Board of Standards' power to discipline advisors now that it has made it clear that Registered Investment Advisers (RIA) and broker-dealers... [read post]
1 Jun 2008, 5:25 pm
DOJ Press Release - Florida Businessman Charged with Forging Correspondence Purportedly From Securities and Exchange Commission Attorney International Herald (AP) - Former Credit Suisse banker gets 10-year sentence DOJ Press Release - Lawyer Indicted on Wire Fraud and Money Laundering... [read post]
10 Feb 2011, 2:08 pm
Charles Grassely (R-Iowa) asked the Securities and Exchange Commission and Department of Justice to explain exactly what information is shared with defendants facing both civil and criminal proceedings. [read post]
23 Jun 2014, 1:15 pm
Securities and Exchange Commission Chair Mary Jo White spoke at the Financial Accounting Foundation Trustees Dinner. [read post]
24 May 2006, 2:56 pm
[JURIST] Regulators at the US Securities and Exchange Commission (SEC) and the Office of Federal Housing Enterprise Oversight (OFHEO) [official websites] have announced a $400 million settlement [press release] with the Federal National Mortgage Association, or Fannie Mae [official website]. [read post]
11 Jun 2020, 10:00 pm
Public companies should consider recent guidance from the US Securities and Exchange Commission, increased examination and enforcement activity at both federal and state levels, and possible shareholder activism, among other effects of the coronavirus (COVID-19) pandemic. [read post]
18 Jul 2023, 10:00 pm
Partner Ignacio Sandoval is featured in a Law360 article covering the US Securities and Exchange Commission’s proposed changes to the Customer Protection Rule, which would impact about 63 carrying broker-dealers and potentially require more frequent deposits into customer and proprietary accounts of broker-dealers’ reserve bank accounts. [read post]
8 Oct 2018, 11:46 pm
The article covers Elon Musk's taunting of the U.S Securities and Exchange Commission (SEC) in a post on Twitter. [read post]
18 Feb 2021, 10:00 pm
Partners Christine Lombardo, John O’Brien, and Steven Stone; of counsel Monica Parry; and associates Brian Baltz, Robert Raghunath, and Ellen Weinstein authored a piece for Wall Street Lawyer about the US Securities and Exchange Commission’s (SEC’s) new Marketing Rule. [read post]
31 Aug 2007, 4:50 am
Convio, which provides fundraising and advocacy software and services for nonprofit organizations, plans an initial public offering, according to a regulatory filing Thursday with the Securities and Exchange Commission. [read post]
5 Aug 2011, 12:07 pm
A former top Securities and Exchange Commission official heads to K&L Gates; Loeb & Loeb adds a banking team from LeClairRyan; and Wilson Elser Moskowitz Edelman & Dicker beefs up its aviation litigation practice. [read post]
6 Apr 2022, 10:00 pm
Morgan Lewis partners Lance Dial, Erin Martin, and Kirstin Gibbs drafted an article for Reuters describing key provisions of the US Securities and Exchange Commission’s (SEC’s) proposed climate disclosure rules related to asset management. [read post]
2 Apr 2009, 4:44 am
-based maker of language learning products, plans to price its initial public offering this month, according to a filing with the Securities and Exchange Commission. [read post]
7 Aug 2009, 12:04 pm
A report today in the Internet edition of Electronics Weekly brought to my attention some correspondence back in June between the Securities and Exchange Commission (”SEC”) and Intel. [read post]
