Search for: "Securities and Exchange Commission"
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19 May 2010, 10:39 am
Securities and Exchange Commission (SEC) was planning to announce proposals for new circuit breaker rules to address issues stemming from the market volatility of May 6. [read post]
13 Dec 2017, 11:45 am
On December 5, 2017 the Securities and Exchange Commission (“SEC”) awarded more than $4.1 million to a whistleblower for alerting the SEC to a multi-year securities fraud engaged in by his employer. [read post]
3 Nov 2009, 10:10 am
Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have issued warnings that leveraged and inverse exchange ETF's are not suitable for most retail investors, and at least one state has announced an investigation into the sales practices of ETF's. [read post]
29 Aug 2024, 6:22 am
Jaresky, finding that when the Securities Exchange Commission (SEC) claims a defendant has violated securities antifraud provisions and pursues civil penalties, the defendant is entitled to a jury trial in federal court according to the Seventh Amendment. [read post]
29 Aug 2024, 6:22 am
Jaresky, finding that when the Securities Exchange Commission (SEC) claims a defendant has violated securities antifraud provisions and pursues civil penalties, the defendant is entitled to a jury trial in federal court according to the Seventh Amendment. [read post]
16 Nov 2015, 6:21 am
On October 30, 2015, the Securities and Exchange Commission (the “SEC”) adopted final rules under Title III of the Jumpstart Our Business Startups (“JOBS”) Act. [read post]
16 Jun 2009, 8:24 am
Bob's post also includes a link to his article of the same name that appears in the May-June 2009 Issue of the Practical Compliance & Risk Management For the Securities Industry. [read post]
10 Feb 2011, 7:46 am
On January 25, 2011, the Securities and Exchange Commission ("SEC") proposed new rules under the Securities Act of 1933, as amended (the "Securities Act"), as required by Section 413(a) of the "Dodd-Frank Wall Street Reform and Consumer Protection Act" ("Dodd-Frank"). [read post]
10 Feb 2011, 7:46 am
On January 25, 2011, the Securities and Exchange Commission ("SEC") proposed new rules under the Securities Act of 1933, as amended (the "Securities Act"), as required by Section 413(a) of the "Dodd-Frank Wall Street Reform and Consumer Protection Act" ("Dodd-Frank"). [read post]
17 Feb 2011, 3:06 pm
A Securities and Exchange Commission case against 77-year-old Monroe Beachy, who the agency says lost nearly half the $33 million his investors -- mostly Amish -- put in over 25 years, has earned him the nickname "Amish Madoff. [read post]
4 Jan 2012, 7:29 am
On December 21, 2011, the Securities and Exchange Commission (“SEC”) adopted new rules under the Securities Act of 1933, as amended (the “Securities Act”), as required by Section 413(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”). [read post]
11 Aug 2009, 10:09 am
“Some observers say Lewis's failure to disclose to his shareholders the extent of the problems at Merrill before the shareholder vote may have constituted securities fraud: a violation of the Securities and Exchange Commission's rule 10b-5, which prohibits any act or omission resulting in fraud or deceit in connection with the purchase or sale of any security. . . . [read post]
29 Feb 2012, 8:25 am
The Securities and Exchange Commission (SEC) and the Commodities Future Trading Commission (CFTC) issued a joint proposed rule and guidelines to help protect investors from identity theft enacted by Title X of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
25 Feb 2010, 6:17 am
The Securities and Exchange Commission voted to issue a statement that lays out its position regarding global accounting standards. [read post]
25 Feb 2010, 6:17 am
The Securities and Exchange Commission voted to issue a statement that lays out its position regarding global accounting standards. [read post]
12 Oct 2007, 12:52 am
The Securities and Exchange Commission has charged the employees with the more than $12 million theft. [read post]
How Far Can I Advertise My Company In New York Before It Is Considered To Be A Pump-And-Dump Scheme?
16 Jun 2011, 2:44 pm
Of these forms, the tactic of Pumping and Dumping is probably investigated the most by the Securities Exchange Commission (SEC). [read post]
13 Feb 2007, 5:00 am
Seeks to Curtail Investor Suits": The New York Times today contains an article that begins, "The Securities and Exchange Commission has begun to take steps on two fronts to protect corporations, executives and accounting firms from investor lawsuits that accuse them of fraud. [read post]
31 Jul 2024, 10:00 pm
Department of Commerce has raised questions regarding the future of financial services regulation, including by the US Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), and the US Department of Labor (DOL). [read post]
31 Jul 2024, 10:00 pm
Department of Commerce has raised questions regarding the future of financial services regulation, including by the US Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), and the US Department of Labor (DOL). [read post]
