Search for: "US Securities and Exchange Commission"
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14 May 2014, 7:57 am
Securities and Exchange Commission (SEC) recently provided guidance on applying its rules regarding communications in connection with securities offerings, tender offers, business combinations and proxy contests when statements are made utilizing certain social media channels. [read post]
16 Aug 2018, 7:52 am
Useful tips from whistleblowers have helped the Securities and Exchange Commission recover over $1 billion in enforcement actions. [read post]
9 Mar 2010, 10:48 am
On March 4, 2010, the Securities and Exchange Commission filed a civil fraud lawsuit against nationally recognized psychic Sean David Morton and three companies he owns under the name Delphi Associates Investment Group (andquot;Delphiandquot;). [read post]
15 Jun 2023, 11:44 am
The Securities and Exchange Commission has published the Spring update to its agency rule list: Agency Rule List – Spring 2023 Securities and Exchange Commission. [read post]
9 Jun 2021, 12:01 pm
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 55 soliciting entities, four (4) impersonators of genuine firms, and…Read the Full Press ReleaseHave a securities law question? [read post]
3 Nov 2010, 10:14 am
The Securities and Exchange Commission is seeking comments on whether amendments should be made to federal securities laws so that private litigants can file transnational securities fraud lawsuits. [read post]
15 Jan 2019, 8:58 am
Securities and Exchange Commission (“SEC”) announced it had adopted final rules to amend certain parts of Regulation A[1] promulgated under the Securities Act of 1933 (“Securities Act”). [read post]
25 Jul 2023, 10:00 pm
The US Securities and Exchange Commission recently implemented amendments to Form PF for large liquidity fund advisers, which will take effect June 11, 2024. [read post]
25 Jul 2023, 10:00 pm
The US Securities and Exchange Commission recently implemented amendments to Form PF for large liquidity fund advisers, which will take effect June 11, 2024. [read post]
25 Jul 2023, 10:00 pm
The US Securities and Exchange Commission recently implemented amendments to Form PF for large liquidity fund advisers, which will take effect June 11, 2024. [read post]
18 May 2017, 9:16 pm
On May 17, 2017, the US Securities and Exchange Commission (SEC), through its National Exam Program, issued a “Risk Alert” […] [read post]
25 Jul 2023, 10:00 pm
The US Securities and Exchange Commission recently implemented amendments to Form PF for large liquidity fund advisers, which will take effect June 11, 2024. [read post]
29 Mar 2010, 3:41 pm
The Securities and Exchange Commission is questioning Wall Street firms about whether they employed accounting strategies like those that Lehman Brothers was accused of using to hide leverage. [read post]
25 Jul 2023, 10:00 pm
The US Securities and Exchange Commission recently implemented amendments to Form PF for large liquidity fund advisers, which will take effect June 11, 2024. [read post]
18 May 2017, 9:16 pm
On May 17, 2017, the US Securities and Exchange Commission (SEC), through its National Exam Program, issued a “Risk Alert” […] [read post]
25 Jul 2023, 10:00 pm
The US Securities and Exchange Commission recently implemented amendments to Form PF for large liquidity fund advisers, which will take effect June 11, 2024. [read post]
3 Jun 2012, 12:15 pm
The second initiative, Release No. 34-67090, updates existing market-wide circuit breakers that, when triggered, halt trading in all exchange listed securities throughout US markets. [read post]
23 Aug 2010, 5:48 am
Securities & Exchange Commission, No. 09-1042 (D.C. [read post]
25 Feb 2020, 8:53 am
Securities and Exchange Commission will take the justices through familiar ground, as they consider once again the boundaries of the broad and multifarious forms of relief available in litigation enforcing the Securities Act of 1933 and the Securities Exchange Act of 1934. [read post]
29 Mar 2011, 6:43 pm
However, as Woolner points, not all defendants of US Securities and Exchange Commission cases are also charged in criminal court over the alleged securities fraud. [read post]
