Search for: "Securities and Exchange Commission"
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SEC Publishes Its Requests for Industry Comment Regarding Its Regulation of Exchange Traded Products
25 Jun 2015, 2:36 pm
On June 12, 2015, the Securities and Exchange Commission (“SEC”) solicited public comment on its approval and regulation of exchange traded products (“ETPs”). [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]
11 Aug 2015, 6:23 am
Securities and Exchange Commission. [read post]
21 Jun 2019, 12:06 pm
Securities and Exchange Commission. [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]
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]
21 Feb 2017, 1:58 pm
On February 10, 2017, the Securities and Exchange Commission (SEC) extended to February 11, 2018 the expiration dates of certain interim final rules relating to “exemptions under [various securities laws] for those security-based swaps that prior to July 16, 2011 were security‑based swap agreements and are defined as securities under the Securities Act and the Exchange Act as of July 16,… [read post]
14 Feb 2020, 2:20 pm
The Securities and Exchange Commission today proposed to modernize the infrastructure for the collection, consolidation, and dissemination of market data for exchange-listed national market system (NMS) stocks. [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]
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]
19 Jul 2016, 9:45 am
On July 13, 2016, the Securities and Exchange Commission adopted rules focused on greater transparency in security-based swap transactions, relying on mandates in the Dodd-Frank Wall Street Reform and Consumer Protection Act. [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]
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]
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]
18 Jul 2017, 7:38 am
In June 2016, the Commission granted IEX’s application to become a registered national securities exchange. [read post]
18 Sep 2014, 10:31 am
According to files with the Securities and Exchange Commission, Geneva Exchange Fund XXII was a TIC in two commercial properties, a Holiday Inn hotel and Wild Wood Water Park, organized in 2004. [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]
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]
