Search for: "In Re Securities and Exchange Commission"
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29 May 2008, 5:15 am
One of the topics we have discussed on this Blog has been the efforts by the Securities and Exchange Commission to influence the substance of corporate governance through the use of disclosure requirements. [read post]
Did You Invest In PAR Funding Through Retirement Evolution Group, LLC Or Its principal, John Gissas?
5 Aug 2020, 3:23 pm
On July 24, 2020, the Securities and Exchange Commission (“SEC”), brought an emergency action against a number of individuals and entities, including but not limited to John Gissas and his central-Florida based company, Retirement Evolution Group, LLC, for their roles in an alleged half billion dollar fraud scheme. [read post]
10 Feb 2016, 6:05 am
Securities and Exchange Commission. [read post]
10 Feb 2016, 6:05 am
Securities and Exchange Commission. [read post]
7 Mar 2013, 9:45 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
3 Apr 2013, 12:47 pm
In re Al Rizek, Securities Exchange Act Release No. 41725, In re Joseph J. [read post]
25 Sep 2012, 10:08 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
25 May 2016, 8:11 am
Securities and Exchange Commission proposed to increase the net worth threshold for “Qualified Clients” from $2 million to $2.1 million. [read post]
25 Jan 2011, 9:41 am
The Securities and Exchange Commission was very busy today in their latest work implementing the Dodd-Frank bill. [read post]
25 Feb 2018, 6:46 am
The actions that Securities and Exchange Commission (SEC) Chairman Jay Clayton has taken since the start of his tenure in May 2017 provide an indication of SEC priorities, including encouraging initial public offerings (IPOs) and combating abuses in cybersecurity matters. [read post]
24 May 2007, 8:31 am
As stated by Cohen: In well publicized run-ins with the Securities and Exchange Commission and the former Attorney General of New York, Maurice "Hank" Greenberg became an avatar of the corporate movement to overturn Sarbanes-Oxley and to promote so-called tort reform. [read post]
16 Sep 2015, 5:21 am
Last year, the Securities and Exchange Commission raised a cloud of concern when it started its cybersecurity initiative aimed at broker/dealers, investment advisers and fund managers. [read post]
27 Jun 2019, 9:20 am
The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay over $88 million to settle charges for overcharging mutual funds and other registered investment company clients for expenses related to the firm's custody of client assets. [read post]
30 Mar 2010, 10:34 am
FINRA became the largest independent regulator for all securities firms doing business in the United States, and is responsible for overseeing brokerage firms, their branch offices and registered securities representatives.Under the Securities Exchange Commission’s authority FINRA promulgates rules of its own as a self regulatory organization (“SRO”). [read post]
23 Feb 2009, 12:02 pm
In its civil complaint in Securities and Exchange Commission v. [read post]
22 Sep 2016, 12:38 pm
Cold Calling – Know Your Rights – from the US Securities and Exchange Commission For many businesses, including securities firms, cold calling serves as a legitimate way to reach potential customers. [read post]
1 May 2016, 7:48 am
The Risks of Inaction and the Need to Weigh Competing Risks Thus far, the discussion has focused on sins of commission. [read post]
20 Dec 2010, 3:29 am
The Securities Exchange Commission recently released its proposed rules for the handling of securities fraud whistleblower claims under the Dodd-Frank bill. [read post]
5 Dec 2023, 1:42 pm
Securities and Exchange Commission (SEC) has stepped up its enforcement of Rule 21F-17(a), filing a number of enforcement actions against companies for stifling whistleblowing through restrictive nondisclosure agreements and other employee agreements. [read post]
7 Aug 2021, 7:00 am
Securities and Exchange Commission (SEC) to recover over $50 million. [read post]
