Search for: "Securities and Exchange Commission"
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3 Sep 2011, 2:56 pm
According to Reuters, attorneys at the Securities and Exchange Commission (“SEC”) have reportedly begun making requests for information concerning proprietary algorithmic trading data as part of its authority to examine financial firms for compliance with federal regulations according to officials and outside lawyers. [read post]
8 Dec 2011, 3:25 pm
The Wall Street Journal reported earlier today that the Ontario Securities Commission (“OSC”) has approved Alpha (Alpha Trading Systems Limited Partnership and Alpha Exchange Inc.), Canada’s largest alternative trading platform to the TSX, as a stock exchange (see: Ontario Securities Regulator Allows Alpha to be Exchange). [read post]
3 May 2022, 10:44 am
The Securities and Exchange Commission is doubling the number of positions in its Enforcement’s Crypto Assets and Cyber Unit to meet the growing number of violations and complaints and the skyrocketing number of investors in the crypto markets. [read post]
5 Apr 2022, 8:49 am
Securities and Exchange Commission (C(2022)1962). [read post]
25 Sep 2019, 6:02 am
Securities and Exchange Commission. [read post]
8 Jul 2024, 1:19 pm
In a major blow to the Securities and Exchange Commission (SEC), the Supreme Court ruled in SEC v. [read post]
21 Sep 2009, 10:20 am
According to the Courthouse News Service, the Securities and Exchange Commission (SEC) has fined Regions Bank $1 million for its role in an investment scam. [read post]
3 Oct 2022, 7:08 am
The post Kim Karsashian will pay $1.26 Million to settle Securities and Exchange Commission probe on her promotion of cyrptocurrency appeared first on Newman & Shapiro. [read post]
29 Jul 2022, 12:36 pm
The post Carson Block and Muddy Waters sued for half of the $14 million whistleblower award by the Securities and Exchange Commission appeared first on Newman & Shapiro. [read post]
14 Apr 2021, 1:36 pm
The Securities and Exchange Commission charged Douglas Elstun, an investment advisor serving pro athletes, with defrauding his clients with undisclosed fees and misleading them about a high-risk investment strategy. [read post]
16 Dec 2022, 11:34 am
The Securities and Exchange Commission today announced fraud charges against Lawrence Billimek, an employee of a major asset management firm with securities portfolios worth billions of dollars, and Alan Williams, who previously worked at several financial industry firms, for perpetrating a multi-year front-running scheme that generated at least $47 million in illegal trading profits. [read post]
4 May 2023, 12:15 am
The Securities and Exchange Commission yesterday adopted amendments to its rules governing share repurchase disclosures. [read post]
15 Nov 2021, 3:53 pm
From Davis Polk: On September 29, 2021, the Securities and Exchange Commission (SEC) proposed amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds (ETFs), and other... [[ This is a content summary only. [read post]
18 Mar 2009, 2:40 am
United States Securities and Exchange Commission v Manterfield Court of Appeal “A regulatory body in the United States seeking to enforce disgorgement of proceeds of alleged fraud could be granted a freezing order over assets in the United Kingdom. [read post]
2 Jul 2009, 8:37 pm
Further complication … The Securities and Exchange Commission (SEC) reportedly previously investigated suspicions of insider trading between Husband and the hedge fund in stock of Husband’s former employer. [read post]
24 Jul 2012, 12:36 pm
The United States Senate is introducing a bill with bipartisan support to try to increase the effectiveness of fines levied by the Securities and Exchange Commission (SEC). [read post]
10 Dec 2021, 10:00 am
After the Securities and Exchange Commission (SEC) amended its “accredited investor” definition in August 2020, it amended its rules once again in November of the same year. [read post]
20 Jul 2022, 2:23 pm
., The Most Curious Rule Proposal in Securities and Exchange Commission History (April 25, 2022). [read post]
8 Jun 2022, 11:39 am
The Securities and Exchange Commission today charged audit firm CohnReznick LLP with improper professional conduct on engagements for two clients in 2017. [read post]
17 Oct 2009, 10:39 pm
Securities and Exchange Commission named Adam Storch, a 29-year-old from Goldman Sachs Group Inc.'s business intelligence unit, as the enforcement division's first chief operating officer.Storch, who joined the SEC Oct. 13, was named to the newly created post of managing executive in the enforcement unit, charged with making the division more efficient, the SEC said today in a statement. [read post]
