Search for: "Securities and Exchange Commission"
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26 Mar 2009, 2:23 pm
The GAO released a report on Securities and Exchange Commission: Oversight of U.S. [read post]
13 Sep 2011, 3:19 pm
(“D&T Shanghai”) in United States District Court for the District of Columbia for failing to produce documents related to the SEC’s investigation into possible securities fraud by the Shanghai-based public accounting firm’s longtime client Longtop Financial Technologies Limited, a foreign private issuer the securities of which are registered with the SEC and traded on U.S. markets. [read post]
24 Feb 2010, 1:06 pm
At its open meeting today, the SEC also adopted a Statement in Support of Convergence and Global Accounting: SUMMARY: The Securities and Exchange Commission (the “Commission”) is publishing this statement to provide an update regarding its consideration of global accounting... [read post]
20 Aug 2010, 5:24 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] announced [press release] Wednesday that it has charged [order, PDF] the state of New Jersey with securities fraud for failing to disclose to municipal bond investors that it was underfunding two of the state's largest pension plans. [read post]
3 Nov 2011, 9:29 am
Securities and Exchange Commission on occasion provides disclosure guidance on topics of interest to the business and investment communities. [read post]
30 Dec 2009, 9:35 am
The Securities and Exchange Commission (SEC) has charged Harold. [read post]
11 Aug 2015, 6:23 am
Securities and Exchange Commission. [read post]
21 Jun 2019, 12:06 pm
Securities and Exchange Commission. [read post]
19 May 2017, 8:48 am
The Stock Market Loss fraud investigation team currently is assisting former clients of Lee Dana Weiss, who has been barred by the Securities and Exchange Commission from serving as an investment adviser or broker. [read post]
12 Apr 2012, 7:26 pm
As part of the Dodd-Frank Act, the Securities and Exchange Commission (SEC) was asked to solicit public comment and evaluate whether private litigants should be permitted to bring actions in the United States based on transnational securities frauds. [read post]
19 Dec 2016, 6:30 am
The election of Donald Trump as the next President and the continued Republican control of Congress raise questions as to what changes may be expected at the Securities and Exchange Commission (SEC or Commission) and what may stay the same. [read post]
23 Nov 2020, 6:31 am
(“IMVU”) received no-action relief from the Securities and Exchange Commission (the “SEC”) confirming that the Division of Corporate Finance will not recommend enforcement action against IMVU for selling its digital asset, VCOIN. [read post]
9 Dec 2019, 7:11 am
Ex-Securities America Broker Investigated For Ponzi Scam Involvement The US Securities and Exchange Commission (SEC) announced that it has permanently barred ex-Securities America broker, Ronald Roach, in the wake of his involvement in a $909M Ponzi fraud. [read post]
29 Sep 2011, 12:35 pm
Securities regulators SEC (the Securities and Exchange Commission) and FINRA (the Financial Industry Regulatory Authority) have issued warnings to investors and to financial services firms that sales of structured securities products have hurt investors. [read post]
18 Jul 2017, 7:38 am
In June 2016, the Commission granted IEX’s application to become a registered national securities exchange. [read post]
14 May 2021, 8:31 am
Securities and Exchange Commission (SEC) to regulate the securities markets in the United States, and it routinely issues Investor Alerts warning of risks for individual investors. [read post]
13 Apr 2018, 5:00 am
The Securities and Exchange Commission charged Pocklington, his company, his attorney, his accountant and a trio of brokers last week. [read post]
10 Nov 2009, 2:59 pm
Today, the Securities Exchange Commission (SEC) issued an order finding that Jon Merriman, founder of San Francisco brokerage firm Merriman Curhan Ford, and Christopher Aguilar, the firm's former general counsel, had failed to supervise broker David "Scott" Cacchione who was engaging in securities fraud. [read post]
5 Mar 2010, 10:21 am
San Diego-based First Allied Securities has agreed to pay $1.95 million in a settlement with the Securities and Exchange Commission (SEC) relating to the firm's failure to supervise the activities of former broker Harold Jaschke who was the subject of a related SEC action for churning, conducting unauthorized trades and giving unsuitable recommendations. [read post]
17 Jun 2010, 2:44 pm
Here is the summary: The Securities and Exchange Commission is proposing amendments to rule 482 under the Securities Act of 1933 and... [read post]
