Search for: "Securities and Exchange Commission"
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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]
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]
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]
23 Aug 2010, 5:48 am
Securities & Exchange Commission, No. 09-1042 (D.C. [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]
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]
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]
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]
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]
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]
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]
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]
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]
