Search for: "Securities and Exchange Commission"
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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]
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]
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]
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]
5 Sep 2012, 10:20 am
An alert for municipal securities dealers concerning pay-to-play rules has been issued by a department of the Securities and Exchange Commission (SEC). [read post]
4 Feb 2013, 5:00 am
Back in 1973 The Securities and Exchange Commission issued a release describing situations where a real estate offering could become a securities offering. [read post]
23 Aug 2010, 5:48 am
Securities & Exchange Commission, No. 09-1042 (D.C. [read post]
30 May 2019, 6:18 am
Securities and Exchange Commission. [read post]
9 Jun 2015, 2:46 pm
Avellan, Note, The Securities and Exchange Commission and the Growing Need for Cybersecurity in Modern Corporate America, 54 Washburn L.J. 193 (2014). [read post]
25 Feb 2021, 6:00 am
On February 9, 2021, the United States Securities and Exchange Commission refused to let a former investment adviser re-register, claiming that the barred adviser had not demonstrated “extraordinary circumstances” to merit re-entry . [read post]
9 Feb 2009, 2:25 pm
News release: "The United States Securities and Exchange Commission announced that on February 9, 2009, it submitted to the Honorable... [read post]
30 Sep 2022, 1:00 pm
The Securities and Exchange Commission today announced charges against six individuals and two companies for their involvement in a fraudulent scheme to promote the securities of issuers that were conducting (or purporting to conduct) offerings pursuant…Read the Full Press ReleaseHave a securities law question? [read post]
9 Oct 2009, 11:15 am
The Ontario Securities Commission (OSC) released a notice today respecting the review by OSC staff of the regulatory requirements for stock exchanges and alternative trading systems and their practices. [read post]
20 Mar 2025, 10:00 pm
On March 10, 2025, Acting Securities and Exchange Commission (SEC) Chair Mark Uyeda indicated in public remarks that he was directing the SEC staff to revisit a 2020 proposal under then-Chair Jay Clayton that, among other things, would have subjected to Regulation ATS alternative trading systems (ATSs) that support trading exclusively in US Treasuries and other government securities (government securities ATSs). [read post]
15 Jul 2019, 3:17 pm
While acknowledging the challenges in applying the securities laws to digital assets, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA), in a joint statement on July 8, 2019, reaffirm that those rules equally apply to digital assets, and promise they will continue to engage the industry in finding solutions. [read post]
20 Mar 2025, 10:00 pm
On March 10, 2025, Acting Securities and Exchange Commission (SEC) Chair Mark Uyeda indicated in public remarks that he was directing the SEC staff to revisit a 2020 proposal under then-Chair Jay Clayton that, among other things, would have subjected to Regulation ATS alternative trading systems (ATSs) that support trading exclusively in US Treasuries and other government securities (government securities ATSs). [read post]
20 Mar 2025, 10:00 pm
On March 10, 2025, Acting Securities and Exchange Commission (SEC) Chair Mark Uyeda indicated in public remarks that he was directing the SEC staff to revisit a 2020 proposal under then-Chair Jay Clayton that, among other things, would have subjected to Regulation ATS alternative trading systems (ATSs) that support trading exclusively in US Treasuries and other government securities (government securities ATSs). [read post]
20 Mar 2025, 10:00 pm
On March 10, 2025, Acting Securities and Exchange Commission (SEC) Chair Mark Uyeda indicated in public remarks that he was directing the SEC staff to revisit a 2020 proposal under then-Chair Jay Clayton that, among other things, would have subjected to Regulation ATS alternative trading systems (ATSs) that support trading exclusively in US Treasuries and other government securities (government securities ATSs). [read post]
11th Cir. Holds Failure to File Proof of Claim in Receivership Does Not Extinguish Security Interest
17 Apr 2017, 8:42 am
A copy of the opinion in Securities and Exchange Commission v. [read post]
20 Mar 2025, 10:00 pm
On March 10, 2025, Acting Securities and Exchange Commission (SEC) Chair Mark Uyeda indicated in public remarks that he was directing the SEC staff to revisit a 2020 proposal under then-Chair Jay Clayton that, among other things, would have subjected to Regulation ATS alternative trading systems (ATSs) that support trading exclusively in US Treasuries and other government securities (government securities ATSs). [read post]
