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13 Feb 2024, 3:52 pm
The Fines are in Connection with Financial Advisors Using Text Messaging and Other Forms of Direct Communication, like WhatsApp to Communicate with Clients On February 9, 2024, the United States Securities and Exchange Commission (“SEC”) fined sixteen firms a total of $81 million for “widespread and longstanding failures” by firms and their employees “to [...] [read post]
24 Sep 2007, 9:03 am
The Chairman for the Securities and Exchange Commission (SEC) is making protection of senior investors one of his "highest priorities. [read post]
17 Aug 2021, 2:47 pm
As discussed in more detail here, on August 6, 2021, the United States Securities and Exchange Commission (the “SEC”) approved NASDAQ Rules 5605(f) and 5606, which require each NASDAQ listed company (subject to certain narrow exceptions) to (i) publicly disclose, to the extent permitted by applicable law, information on the voluntary self disclosed gender, racial... [read post]
22 Feb 2018, 9:00 am
Tell the Securities and Exchange Commission (SEC). [read post]
10 Jan 2007, 5:47 am
Officials from the Securities and Exchange Commission, Britain’s Financial Services Authority, the New York Federal Reserve and several European agencies met [...] [read post]
16 Sep 2021, 11:16 am
Before retaining an intermediary, however, it is imperative for the company to determine whether the intermediary is a finder or broker according to the United States Securities and Exchange Commission (the “SEC”). [read post]
31 Dec 1969, 4:00 pm
On June 21, 2018, the Supreme Court held that the Securities and Exchange Commission’s (SEC’s) Administrative Law Judges (ALJs) are “officers of the United States” whose appointments are therefore subject to the Appointments Clause of the Constitution for their actions to be valid. [read post]
15 Oct 2003, 5:01 pm
Douglas, future Chairman of the Securities and Exchange Commission and Associate Justice of the United States Supreme Court, was born in Maine, Minnesota. [read post]
1 Dec 2014, 9:33 am
By: Mark Tarallo On November 5, 2014, the United States Securities and Exchange Commission (SEC) announced enforcement actions against 10 publicly traded companies for failing to properly disclose financing transactions and other sales of unregistered stock. [read post]
8 Dec 2014, 9:56 am
By: Mark Tarallo Continuing its crackdown on insider trading activities, the United States Securities and Exchange Commission announced on November 21 that it had filed charges against an executive of GenTek, Inc. and his restaurant-manager friend for acting on material non-public information. [read post]
17 Jun 2009, 2:25 am
Treasury Department and SEC move forward on executive compensation reformKatten Muchin Rosenman LLP"On June 10, the United States Treasury Department (Treasury) and the Securities and Exchange Commission (SEC) announced new rules for companies receiving funds under Treasury's Troubled Asset Relief Program (TARP) and initiatives to reform executive compensation, which reach beyond the financial sector. [read post]
10 Sep 2013, 9:31 am
United States v. [read post]
4 Jan 2017, 1:02 am
Securities and Exchange Commission (SEC) in SEC v. [read post]
14 Feb 2022, 1:50 pm
The Securities and Exchange Commission today charged BlockFi Lending LLC (BlockFi) with failing to register the offers and sales of its retail crypto lending product. [read post]
23 Nov 2011, 6:23 am
The anti-bribery provisions of the FCPA apply to all United States persons and certain foreign issuers of securities, as well as foreign firms and individuals who act in furtherance of a bribe to take place within the United States. [read post]
26 Mar 2010, 11:24 am
In Securities & Exchange Commission v. [read post]
23 Jun 2018, 8:49 am
Securities and Exchange Commission. [read post]
20 Sep 2010, 5:40 am
Aug. 16, 2010), the United States Court of Appeals for the Third Circuit declined to recognize a presumption of reliance based upon the so-called “fraud-created-the-market” theory to state a claim under Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. [read post]
8 Jun 2011, 9:00 am
Obtaining money, valuable security, or goods, by false pretences; receiving any money, valuable security, or other property, knowing the same to have been stolen or unlawfully obtained. 19. [read post]
3 Mar 2020, 6:36 am
Securities and Exchange Commission (SEC or Commission) in response to proposed amendments to the federal proxy rules published on December 4, 2019, in SEC Release No. 34–87457, Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice (Release). [read post]
