Search for: "US Securities and Exchange Commission"
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14 May 2007, 5:15 am
Without the use of listing standards, the Commission tried to increase accountability through the use of enforcement proceedings. [read post]
28 Jul 2017, 11:36 am
The SEC determined that the tokens issued by the DAO are securities under the Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”), and advised those who would use a distributed ledger or blockchain-enabled means for capital raising to take appropriate steps to comply with the U.S. federal securities laws. [read post]
28 Jul 2017, 11:36 am
The SEC determined that the tokens issued by the DAO are securities under the Securities Act of 1933 (“Securities Act”) and the Securities Exchange Act of 1934 (“Exchange Act”), and advised those who would use a distributed ledger or blockchain-enabled means for capital raising to take appropriate steps to comply with the U.S. federal securities laws. [read post]
4 Sep 2012, 5:44 am
The Hong Kong Securities and Futures Commission has commenced proceedings in the Court of First Instance against Ernst & Young Hong Kong for failing to produce to the SFC specified accounting records and audit work papers relating to the firm’s work as the reporting accountant and auditor for a company seeking to list on the Hong Kong Stock Exchange. [read post]
5 Jan 2013, 6:28 am
Securities and Exchange Commission (“SEC”) issued a Wells Notice based on a social media communication. [read post]
21 Mar 2024, 9:07 am
On 6 March 2024, the US Securities and Exchange Commission adopted final rules by a 3-2 vote that would require domestic and foreign registrants to provide climate-related disclosures in their registration statements and annual reports. [read post]
3 Sep 2008, 8:18 pm
The Securities and Exchange Commission and the US Attorney's Office in Brooklyn are charging Eric Butler and Julian Tzolov, two ex-Credit Suisse brokers, with coming up with an auction-rate securities scam to mislead customers and increase their commissions. [read post]
3 Apr 2013, 12:06 pm
By: Daniele Levy Yesterday the Securities and Exchange Commission (SEC) issued guidance to clarify how public companies and executives may use social media to disseminate company information in compliance with Reg. [read post]
16 Nov 2020, 7:20 am
The SEC charges 3 RIAs and 2 Broker-dealers with Unsuitable Sales of Complex Exchange-Traded Products According to a press announcement on November 13, the Securities and Exchange Commission reportedly settled actions against three investment advisory firms and two dually-registered broker-dealer and advisory firms for alleged violations that related to unsuitable sales of complex exchange-traded products to retail investors. [read post]
10 Feb 2014, 4:40 pm
He did so in reports he filed with the Securities and Exchange Commission. [read post]
3 Oct 2011, 7:05 am
The Securities and Exchange Commission recently published a concept release and request for comments (the “Release”) on a wide range of issues relating to the use of derivatives by investment companies regulated under the Investment Company Act of 1940, including mutual funds, closed-end funds, exchange-traded funds and business development companies (collectively, “funds”). [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
3 Jan 2021, 10:00 pm
The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings, increasing the number of alternatives to traditional initial public offerings. [read post]
1 Sep 2009, 7:30 am
The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) have all recently warned that leveraged exchange traded funds (ETFs) are very dangerous investments and not suitable for most retail investors. [read post]
13 May 2014, 12:12 pm
Securities and Exchange Commission (SEC) has been considering how the use of the social media by public companies fits within the existing regulatory framework. [read post]
15 Aug 2022, 1:40 pm
The Securities and Exchange Commission today charged 18 individuals and entities for their roles in a fraudulent scheme in which dozens of online retail brokerage accounts were hacked and improperly used to purchase microcap stocks to manipulate the…Read the Full Press ReleaseHave a securities law question? [read post]
