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5 Sep 2024, 10:00 pm
The Nasdaq Stock Market LLC (Nasdaq) recently filed with the Securities and Exchange Commission (SEC) the proposed amendments to its rules regarding the delisting of penny stocks (i.e., shares with bid price below $1.00), aiming to enhance investor protection by suspending the listing of such shares on Nasdaq after 360 days of noncompliance and restricting excessive reverse stock splits. [read post]
5 Sep 2024, 1:05 pm
Securities and Exchange Commission (SEC) announced that a broker-dealer and two affiliated investment advisers agreed to pay $240,000 to settle charges that they violated a whistleblower protection rule through the use of restrictive language in confidentiality agreements. [read post]
5 Sep 2024, 9:02 am
The Securities and Exchange Commission today announced fraud charges against Nicholas Bowerman, a former finance director of CIRCOR International Inc., a formerly publicly traded technology manufacturer. [read post]
5 Sep 2024, 9:00 am
In response to a Congressional mandate in Dodd-Frank, the Securities and Exchange Commission adopted Rule 21F-17 in August 2011, which provides: (a) No person may take any action to impede an individual from communicating directly with the Commission staff about a possible securities law violation, including enforcing, or threatening to enforce, a confidentiality agreement . . . with respect to such communications. [read post]
5 Sep 2024, 7:47 am
On September 5, the whistleblower law firm Kohn, Kohn & Colapinto (KKC) announced that former Securities and Exchange Commission (SEC) enforcement attorney Andrew Feller was joining the firm as Senior Special Counsel. [read post]
5 Sep 2024, 5:50 am
The Summit will again be attended by four of the five permanent members of the UN Security Council. [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]
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]
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]
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]
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]
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]
4 Sep 2024, 1:30 pm
The Securities and Exchange Commission today announced settled charges against three affiliated registrants, Commission-registered broker-dealer Nationwide Planning Associates, Inc. and investment adviser NPA Asset Management, LLC, and state-registered…Read the Full Press Release Have a securities law question? [read post]
3 Sep 2024, 1:45 pm
The Securities and Exchange Commission today announced charges against six nationally recognized statistical rating organizations, or NRSROs, for significant failures by the firms and their personnel to maintain and preserve electronic communications. [read post]
3 Sep 2024, 12:30 pm
The Securities and Exchange Commission today announced settled charges against ClearPath Capital Partners LLC for failing to comply with requirements related to the safekeeping of client assets and for its use of impermissible liability disclaimers in…Read the Full Press Release Have a securities law question? [read post]
3 Sep 2024, 10:52 am
I received several comments about the post, including a note from Keith Paul Bishop of the Allen Matkins law firm, who writes the California Corporate & Securities Law blog. [read post]
3 Sep 2024, 10:50 am
The Securities and Exchange Commission today charged Maria Dulce Pino Dickerson and her companies Creative Legal Fundings in CA and The Ubiquity Group LLC with raising approximately $7 million from more than 130 investors through a fraudulent securities…Read the Full Press Release Have a securities law question? [read post]
3 Sep 2024, 9:21 am
Some foreign corruption cases are covered by the Securities and Exchange Commission’s (SEC) whistleblower program, but many of the foreign corruption cases we prosecute are not. [read post]
3 Sep 2024, 9:01 am
The Securities and Exchange Commission today announced settled charges against Florida-based Galois Capital Management LLC, a former registered investment adviser for a private fund that primarily invested in crypto assets, for failing to comply with…Read the Full Press Release Have a securities law question? [read post]
3 Sep 2024, 7:00 am
Securities and Exchange Commission (“SEC”) filed a complaint against Lufkin Advisors, LLC, a now de-registered Registered Investment Adviser, and its President, Chauncey Forbush Lufkin, III (collectively, “Defendants”) in the U.S. [read post]
