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15 May 2023, 9:07 am
The Securities and Exchange Commission today announced charges against El Segundo, California-based Red Rock Secured LLC, its CEO, Sean Kelly, and two of its former Senior Account Executives, Anthony Spencer and Jeffrey Ward, in connection with a…Read the Full Press Release Have a securities law question? [read post]
22 Sep 2023, 7:06 am
The Securities and Exchange Commission today announced settled charges against broker-dealer Citadel Securities LLC for violating a provision of Regulation SHO, the regulatory framework designed to address abusive short selling practices, which requires…Read the Full Press Release Have a securities law question? [read post]
30 May 2010, 2:50 pm
Securities and Exchange Commission (SEC). [read post]
8 Jun 2018, 11:53 am
According to the Securities & Exchange Commission, pump and dump schemes consist of two parts. [read post]
27 Jan 2015, 6:04 am
Securities and Exchange Commission. [read post]
15 Feb 2011, 2:08 pm
The Securities and Exchange Commission today charged a 77-year old Amish man in Ohio with targeting fellow Amish investors in a fraudulent offering that raised more than $33 million. [read post]
19 Nov 2021, 5:09 am
The Securities and Exchange Commission today published proposed Exchange Act Rule 10c-1, which would require lenders of securities to provide the material terms of securities lending transactions to a registered national securities association, such as…* This article was originally published here____ For More information on the United States Securities Law visit Securities Law Blog - SECLaw.com - News and… [read post]
23 Jul 2014, 5:32 pm
Check out the Securities and Exchange Commission Historical Society, a virtual museum with lots of fascinating content: a timeline, original documents, oral histories, and more. [read post]
22 Jun 2020, 9:42 am
The US Supreme Court ruled 8-1 Monday that the Securities and Exchange Commission may seek disgorgement awards in securities fraud cases. [read post]
8 Apr 2024, 8:23 am
On 4 April 2024, the International Organisation for Securities Commissions (IOSCO) published a Consultation Report titled Evolution in the Operation, Governance and Business Models of Exchanges: Regulatory Implications and Good Practices. [read post]
18 Oct 2023, 8:22 am
The Securities and Exchange Commission today proposed a new rule that would prohibit national securities exchanges from offering volume-based transaction pricing in connection with the execution of agency or riskless principal (“agency-related”) orders…Read the Full Press Release Have a securities law question? [read post]
10 Aug 2023, 1:45 pm
The Securities and Exchange Commission today announced that crypto asset trading platform Bittrex Inc. and its co-founder and former CEO, William Shihara, agreed to settle charges that they operated an unregistered national securities exchange, broker,…Read the Full Press Release Have a securities law question? [read post]
29 Mar 2023, 8:00 am
The Securities and Exchange Commission today charged the crypto asset trading platform beaxy.com (the Beaxy Platform) and its executives for failing to register as a national securities exchange, broker, and clearing agency. [read post]
17 Apr 2023, 7:15 am
The Securities and Exchange Commission today charged crypto asset trading platform Bittrex, Inc. and its co-founder and former CEO William Shihara for operating an unregistered national securities exchange, broker, and clearing agency. [read post]
18 Jun 2012, 7:00 am
In Securities & Exchange Commission v. [read post]
18 Jun 2012, 7:00 am
In Securities & Exchange Commission v. [read post]
11 Mar 2022, 12:53 pm
Securities and Exchange Commission (SEC) filed civil charges against former Garden State Securities financial advisor Joseph Orazio DeGregorio. [read post]
15 Mar 2023, 9:25 am
The Securities and Exchange Commission today proposed requirements for broker-dealers, clearing agencies, major security-based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges,…Read the Full Press ReleaseHave a securities law question? [read post]
17 Jan 2025, 6:32 am
We also believe that in the wake of this tragic event it is time for the Securities and Exchange Commission (SEC) to revisit the treatment of personal security as a perquisite requiring disclosure in a company’s SEC reports. [read post]
17 Jan 2025, 6:32 am
We also believe that in the wake of this tragic event it is time for the Securities and Exchange Commission (SEC) to revisit the treatment of personal security as a perquisite requiring disclosure in a company’s SEC reports. [read post]
