Search for: "Securities And Exchange Commission"
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12 Aug 2009, 9:10 am
Here's the abstract:This essay, prepared for the Virginia Law Review symposium marking the 75th anniversary of the Securities Exchange Commission, explores the mechanisms through which the Roosevelt Administration [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]
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]
10 Nov 2016, 1:19 pm
on SSRN with the following abstract: The Securities and Exchange Commission (SEC or Commission) appears to be on the verge of requiring investment advisers to... [read post]
21 Dec 2010, 2:52 pm
Today, the San Francisco Regional Office of the Securities and Exchange Commission (SEC) levied securities fraud charges against local investment advisors responsible for managing the American Pegasus Auto Loan Fund, a $100 million hedge fund that invested in subprime automobile loans. [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]
9 May 2011, 10:00 am
Attorney for the District of Colorado; Robert Khuzami, Director of Enforcement for the Securities and Exchange Commission; Jean Woodford, First Assistant Attorney General for Securities and Financial Fraud; Fred Joseph, Commissioner of the Colorado Division of Securities; and Julie Lutz from the Securities and Exchange Commission. [read post]
27 Jan 2015, 6:04 am
Securities and Exchange Commission. [read post]
8 Jun 2018, 11:53 am
According to the Securities & Exchange Commission, pump and dump schemes consist of two parts. [read post]
29 Sep 2020, 9:09 am
The Securities and Exchange Commission today announced charges against J.P. [read post]
6 Sep 2007, 5:14 am
On March 22, 2007, the Securities and Exchange Commission (SEC) issued an Order Instituting Proceedings (OIP) against Salvatore F. [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]
18 Aug 2017, 2:35 pm
The Securities and Exchange Commission today issued two releases and the SEC staff released a Staff Accounting Bulletin to update interpretive guidance regarding revenue recognition.Consistent with developments in private-sector accounting standard setting, the SEC issued a release to update its guidance for bill-and-hold arrangements by stating that registrants should no longer refer to the criteria in Accounting and Auditing Enforcement Release No. 108, In the… [read post]
30 May 2010, 2:50 pm
Securities and Exchange Commission (SEC). [read post]
22 Jul 2007, 11:06 am
Congress addressed foreign securities exchanges under the PSLRA in 15 U.S.C. [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]
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]
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]
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]
