Search for: "Securities and Exchange Commission"
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18 Oct 2023, 8:22 am
The Securities and Exchange Commission today proposed a new rule that would prohibit national securities exchanges from offering volume-based transaction pricing in connection with the execution of agency or riskless principal (“agency-related”) orders…Read the Full Press Release Have a securities law question? [read post]
29 Aug 2019, 9:01 am
The Securities and Exchange Commission today announced settled charges with Bitqyck Inc. and its founders, who allegedly defrauded investors in securities offerings of two digital assets, Bitqy and BitqyM, and operated an unregistered exchange to… Read the Full Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
10 Aug 2023, 1:45 pm
The Securities and Exchange Commission today announced that crypto asset trading platform Bittrex Inc. and its co-founder and former CEO, William Shihara, agreed to settle charges that they operated an unregistered national securities exchange, broker,…Read the Full Press Release Have a securities law question? [read post]
29 Mar 2023, 8:00 am
The Securities and Exchange Commission today charged the crypto asset trading platform beaxy.com (the Beaxy Platform) and its executives for failing to register as a national securities exchange, broker, and clearing agency. [read post]
17 Apr 2023, 7:15 am
The Securities and Exchange Commission today charged crypto asset trading platform Bittrex, Inc. and its co-founder and former CEO William Shihara for operating an unregistered national securities exchange, broker, and clearing agency. [read post]
8 Apr 2024, 8:23 am
On 4 April 2024, the International Organisation for Securities Commissions (IOSCO) published a Consultation Report titled Evolution in the Operation, Governance and Business Models of Exchanges: Regulatory Implications and Good Practices. [read post]
19 Aug 2016, 2:00 pm
The Securities and Exchange Commission has dismissed fraud charges against a Pikesville man three years after an administrative law judge ruled his trading strategy was illegal. [read post]
7 Mar 2017, 7:06 am
Last week, the Securities and Exchange Commission proposed Rule Amendments to Improve Municipal Securities Disclosures. [read post]
15 Mar 2023, 9:25 am
The Securities and Exchange Commission today proposed requirements for broker-dealers, clearing agencies, major security-based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges,…Read the Full Press ReleaseHave a securities law question? [read post]
30 Aug 2022, 10:07 am
We’re sure there’s no ideological axe to grind with the Securities and Exchange Commission here. [read post]
11 Apr 2014, 10:54 am
Nadelle Grossman has posted The Sixth Commissioner on SSRN with the following abstract: The federal securities laws grant broad rulemaking authority to the Securities and Exchange Commission (SEC). [read post]
11 Dec 2013, 4:11 pm
Securities and Exchange Commission is to protect investors. [read post]
30 Jun 2008, 8:11 pm
Ninth Circuit reinstates insider trading claims brought by the Securities and Exchange Commission against a former Fidelity National Financial director alleged to have traded on confidential information about the impending acquisition of LendingTree, Inc.: You can access today's ruling of the U.S. [read post]
17 Oct 2019, 8:49 am
The Securities and Exchange Commission today issued a statement that invites exchanges and other market participants to submit innovative proposals designed to improve the secondary market structure for exchange listed equity securities that trade…Read the Full Press ReleaseHave a securities law question? [read post]
16 Sep 2009, 4:00 am
Likewise, in Australia, the responsibility for listed companies' compliance with listing rules is shared between the ASX and the Australian Securities and Investments Commission (ASIC). [read post]
31 Mar 2008, 12:04 am
Securities and Exchange Commission Chairman Christopher Cox and Australian Prime Minister Kevin Rudd have announced that the SEC, the Australian Securities and Investment Commission (ASIC) and the Australian Treasury Department have begun formal discussions to consider a mutual recognition arrangement for the two nations' securities markets. [read post]
18 Jun 2018, 7:38 am
Securities and Exchange Commission has declared that Bitcoin, Etherium and other coins operating on truly decentralized platforms are not securities. [read post]
7 Apr 2011, 3:15 pm
Today, the Securities and Exchange Commission (SEC) announced the filing of a civil securities fraud lawsuit against Southern California wealth advisory firm MAM Wealth Management, LLC (MAM), MAMW Real Estate General Partner, LLC (MAMW), Alex Martinez and Ralph Sanchez. [read post]
6 Feb 2015, 1:46 pm
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recently released its annual examination priorities. [read post]
6 Feb 2015, 1:46 pm
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) recently released its annual examination priorities. [read post]
