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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]
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]
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]
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]
23 Apr 2010, 11:19 am
The Securities and Exchange Commission is conducting a review of certain types of exchange traded funds. [read post]
4 Nov 2024, 10:00 pm
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market Maker) on October 10, 2024, alleging that the firm operated as an unregistered securities dealer in violation of Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) by virtue of acting as a market maker in cryptoasset securities. [read post]
4 Nov 2024, 10:00 pm
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market Maker) on October 10, 2024, alleging that the firm operated as an unregistered securities dealer in violation of Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) by virtue of acting as a market maker in cryptoasset securities. [read post]
4 Nov 2024, 10:00 pm
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market Maker) on October 10, 2024, alleging that the firm operated as an unregistered securities dealer in violation of Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) by virtue of acting as a market maker in cryptoasset securities. [read post]
4 Nov 2024, 10:00 pm
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market Maker) on October 10, 2024, alleging that the firm operated as an unregistered securities dealer in violation of Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) by virtue of acting as a market maker in cryptoasset securities. [read post]
4 Nov 2024, 10:00 pm
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market Maker) on October 10, 2024, alleging that the firm operated as an unregistered securities dealer in violation of Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) by virtue of acting as a market maker in cryptoasset securities. [read post]
4 Nov 2024, 10:00 pm
The Securities and Exchange Commission (SEC) filed a complaint against a crypto market maker (Market Maker) on October 10, 2024, alleging that the firm operated as an unregistered securities dealer in violation of Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) by virtue of acting as a market maker in cryptoasset securities. [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]
27 Jun 2018, 12:22 pm
A three-year suspension from the South Carolina Supreme Court The charges against Kern arise from Securities and Exchange Commission (SEC) proceedings initiated against Kern and others following an SEC investigation of a fraudulent investment scheme perpetrated by Craig Berkman. [read post]
7 Dec 2009, 12:34 pm
Securities America and financial adviser Bradley Hofhines have been sued in a potential class action tied to Provident Royalties and oil-and-gas private placements that the Securities and Exchange Commission (SEC) alleged in July were fraudulent. [read post]
22 Mar 2011, 10:04 am
The Commission’s concern is whether diverse platforms are accessible in a non-discriminative manner and whether multiple data sources can be reintegrated at the user level at a reasonable cost.In the Securities Reform Act of 1975, Congress amended the Exchange Act essentially removing the monopoly status of exchanges in the US. [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]
21 Jul 2017, 6:05 am
Indiana Public Retirement System (Leidos). [1] The legal question presented in Leidos is whether a regulation issued by the Securities and Exchange Commission (SEC), Item 303 of Regulation S-K (Item 303), creates a duty to disclose that is actionable under the anti-fraud provision set forth in Section 10(b) of the Securities Exchange Act of 1934 and the related Rule 10b-5. [read post]
1 Feb 2019, 4:00 am
Securities Fraud Charges for Ukrainian MenFederal authorities have charged two Ukrainian men with securities fraud for hacking the Securities and Exchange Commission computer network. [read post]
13 Apr 2010, 1:05 pm
At the April 14 SEC Open Meeting, the Commission will consider the following: Item 1: Large Trader Reporting System The Commission will consider whether to propose a large trader reporting requirement, pursuant to Section 13(h) of the Securities Exchange Act... [read post]
10 Apr 2009, 2:59 pm
Here is the introductory paragraph in its release: The Securities and Exchange Commission ("Commission") is proposing amendments to Regulation... [read post]
