Search for: "U.S. SECURITIES AND EXCHANGE COMMISSION"
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18 Aug 2017, 7:45 am
Securities and Exchange Commission. [read post]
17 Aug 2023, 1:02 pm
Securities and Exchange Commission (SEC) has proposed a set of new rules intended to create a consistent, comparable, and reliable source of information regarding climate change impacts and sustainability efforts to inform and protect investors while facilitating further innovation in this evolving area. [read post]
4 Apr 2023, 8:28 am
The post Securities and Exchange Commission charges Charlie Javice former owner of student loan assistance company Frank with fraud on sale appeared first on Jeff Newman Law. [read post]
30 May 2021, 8:54 am
Another U.S. [read post]
4 Oct 2016, 6:52 am
Securities and Exchange Commission’s (SEC) review and a spirited debate on equity market structure, the SEC approved IEX’s application to become a national securities exchange on June 17, 2016. [1] As highlighted in the widely read book Flash Boys, by Michael Lewis, IEX employs a speed bump or delay on market participants accessing liquidity on IEX (IEX access delay). [read post]
5 Jun 2015, 1:06 pm
Securities and Exchange Commission won a judgment against Washington attorney... [read post]
17 Nov 2021, 12:32 pm
Securities and Exchange Commission (SEC) Gary Gensler has asked staff to recommend rules around ensuring principal trading firms (PTFs) are appropriately registered as dealers, calling for improved transparency in the world’s biggest bond market. [read post]
15 Mar 2023, 8:23 am
Chinese businessman Miles Guo and his financial advisor William Je have been charged by the Securities and Exchange Commission for their involvement in unregistered and fraudulent offerings that raised more than $850 million. [read post]
23 Mar 2023, 1:44 pm
The Securities and Exchange Commission today charged Darryl Matthew Cohen, a former investment adviser at a large financial institution, with misappropriating more than $1 million from three current and former NBA players over two and a half years. [read post]
15 Oct 2018, 7:12 am
Sources: SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval Securities and Exchange Commission v. [read post]
25 Oct 2022, 12:49 pm
The Securities and Exchange Commission today charged Cronos Group Inc., a Nasdaq-listed cannabis company based in Toronto, for improperly accounting for millions of dollars of revenue and for other accounting misconduct in multiple reporting periods. [read post]
1 Dec 2018, 7:46 am
Securities and Exchange Commission (SEC) in the digital token (aka cryptocurrency) space have primarily focused on the primary issuances of tokens. [read post]
31 Mar 2023, 7:01 am
The post Securities and Exchange Commission files insider trading charges against former stock broker from New Jersey and trader for Canadian asset management firm appeared first on Jeff Newman Law. [read post]
7 Apr 2022, 9:00 am
Securities and Exchange Commission. [read post]
5 Feb 2009, 12:13 pm
Securities and Exchange Commission ( SEC ) as related to the Madoff ponzi scheme: The Securities and Exchange Commission (SEC) has posted information for Madoff investors at: [www.sec.gov] See also NYT article 2-5-09: by Diana B. [read post]
5 Mar 2024, 9:05 pm
Securities and Exchange Commission (SEC) for operating as unregistered securities exchanges, broker-dealers, and clearing agencies. [read post]
17 Nov 2022, 12:25 pm
The United States Securities and Exchange Commission Office of Investor Education has recommended that all investors check their accounts to determine whether financial information or assets have been stolen. [read post]
1 Mar 2023, 12:59 pm
The Securities and Exchange Commission has charged Terren S. [read post]
16 Feb 2023, 8:45 am
The post Lawfirm opposes Security and Exchange Commission subpoena for firm’s client data for SEC’s investigation of Cyber Attack on the firm appeared first on Newman & Shapiro. [read post]
16 Feb 2023, 8:45 am
The post Lawfirm opposes Security and Exchange Commission subpoena for firm’s client data for SEC’s investigation of Cyber Attack on the firm appeared first on Jeff Newman Law. [read post]
