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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]
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]
23 Aug 2011, 5:43 pm
On August 21, 2011, the Securities and Exchange Commission launched a website for individuals to report a violation of the federal securities laws and apply for a financial award. [read post]
30 May 2019, 6:18 am
Securities and Exchange Commission. [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]
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 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]
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]
12 Feb 2019, 12:00 am
Securities and Exchange Commission implied that those engaged in writing and publishing code might need to worry about running afoul of securities laws. [read post]
28 May 2019, 8:49 am
In March 2019, Newbridge Securities Corporation (“Newbridge”) filed its Form X-17A-5, commonly called a firm’s Focus Report, with the Securities & Exchange Commission (“SEC”). [read post]
23 Aug 2010, 5:48 am
Securities & Exchange Commission, No. 09-1042 (D.C. [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]
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]
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]
11 May 2007, 5:15 am
It is a topic addressed in my recent paper, Corporate Governance, the Securities and Exchange Commission, and the Limits of Disclosure We are jumping ahead of our discussion, but the Friday editorial seems a good place to comment on some relatively recent developments concerning corporate governance. [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 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]
4 Sep 2012, 5:44 am
The Hong Kong Securities and Futures Commission has commenced proceedings in the Court of First Instance against Ernst & Young Hong Kong for failing to produce to the SFC specified accounting records and audit work papers relating to the firm’s work as the reporting accountant and auditor for a company seeking to list on the Hong Kong Stock Exchange. [read post]
8 Jan 2017, 6:00 am
Securities and Exchange Commission (SEC) to expedite an investigation of the chicken producer in relation to the organization’s 2015 undercover investigation of a Tyson Foods slaughter plant. [read post]
8 Dec 2010, 1:18 pm
The Securities and Exchange Commission accused Banc of America Securities LLC, of "rigging municipal bond sales with dummy bids, defrauding hospitals, schools, and other state-run organizations," according to Consumerist. [read post]
