Search for: "In Re Securities and Exchange Commission"
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17 Dec 2008, 4:48 pm
Christopher Cox, a Republican United States representative from Orange County, Calif., and a Republican, was sworn in as the 28th chairman of the Securities and Exchange Commission in August 2005. [read post]
2 Nov 2015, 2:29 pm
This involves the temporary exchange of assets as collateral for a funding transaction. [read post]
9 Sep 2012, 3:44 pm
On August 29, 2012, the Securities and Exchange Commission (the SEC) issued proposed amendments to Rule 506 of Regulation D and Rule 144A to implement Section 201(a) of the JOBS Act. [read post]
15 Nov 2021, 10:39 am
Securities and Exchange Commission (SEC) Chair Gensler at the Institutional Limited Partners Association Summit and an SEC Division of Examinations (EXAMS) Risk Alert published on the same day highlight the ongoing focus of the SEC on advisory fees, both in the institutional and retail spaces. [read post]
21 Feb 2010, 6:18 am
Securities and Exchange Commission. [read post]
11 Feb 2010, 1:03 pm
Message to Silicon Valley execs: If the Securities and Exchange Commission calls with questions, don’t try to answer them on the spot, especially if you are going to try stuff like denying you know someone that you live with. [read post]
22 Jul 2019, 3:00 am
Here’s an excerpt from this GCN article: The Securities and Exchange Commission also issued a sources sought notice for a commercial, off-the-shelf social media monitoring subscription to help it track emerging risk areas and activities of market participants to identify potential securities law violations. [read post]
21 Oct 2022, 10:05 am
According to the Securities and Exchange Commission (SEC), it was a classic “pump and dump” scheme. [read post]
3 Jul 2008, 2:26 pm
A corporation which desires to cooperate either with a civil investigative agency, such as the Securities Exchange Commission, or a prosecutive authority, such as the local U.S. [read post]
25 Oct 2013, 6:34 am
White softens stance on minor securities violations by Mark Schoeff Jr. in Investment News Securities and Exchange Commission Chairman Mary Jo White told compliance officers Tuesday that the agency will work with them to address regulatory lapses before resorting to enforcement. [read post]
20 Jun 2023, 9:01 pm
On June 7, 2023, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation M, replacing the investment-grade exceptions for non-convertible debt or preferred equity securities with credit risk exceptions based on a specified probability of default threshold assessed by the lead manager in writing pursuant to a structural credit risk model.[1] The amendments also require broker-dealers relying upon the new exceptions to… [read post]
18 Jan 2018, 6:45 am
By Jay Fishman, J.D.The Department of Banking and Securities has amended its securities rules in their entirety, primarily to non-substantively re-write the rules in more plain English for better clarity, to replace outdated references to "Commission" and "NASD" with "Department" and "FINRA," respectively, and to repeal a number of outdated rules. [read post]
30 Oct 2017, 3:00 am
Here’s an excerpt: The Securities and Exchange Commission on Thursday signaled a pivot away from the prosecutorial approach to enforcement that the agency pursued after the financial crisis. [read post]
13 May 2016, 6:46 am
The Securities and Exchange Commission recently charged a father and son and five associates with defrauding investors in sham Native American tribal bonds in order to steal millions of dollars in proceeds for their own extravagant expenses and criminal defense costs. [read post]
2 Sep 2022, 8:25 am
When the Securities and Exchange Commission (SEC) warns investors of types of investment scams—such as boiler room and Ponzi schemes—the agency routinely mentions the high-pressure aggressive sales tactics scammers rely on to help defraud their customers. [read post]
22 Dec 2009, 1:42 pm
Banc of America Securities LLC (In re Short Sale Antitrust Litigation), 2009 WL 4350035 (2d Cir. [read post]
8 Mar 2021, 6:33 am
The Securities and Exchange Commission (SEC) alleges that GPB Capital Holdings violated whistleblower protection laws by retaliating against a whistleblower and preventing people from going to the SEC with information. [read post]
3 Nov 2014, 5:42 am
The Securities and Exchange Commission has been pointing out custody issues for investment advisers, made it an exam priority for 2014, highlighted in its presence exam initiative, and highlighted it in its never before examined initiative. [read post]
30 Sep 2015, 5:00 am
Strong rulemaking is central to the mission of the Securities and Exchange Commission. [read post]
2 Dec 2009, 5:22 am
CLST Holdings (CLHI) revealed in a recent 8-K filing that it had received a subpoena from the Division of Enforcement of the Securities and Exchange Commission (SEC) in connection to financial dealings between it and Fair Finance, the Ohio-based consumer finance firm owned by Timothy Durham and the same company that is the subject of an ongoing federal probe. [read post]
