Search for: "Securities and Exchange Commission"
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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]
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]
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]
23 Apr 2010, 11:19 am
The Securities and Exchange Commission is conducting a review of certain types of exchange traded funds. [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]
3 Apr 2019, 10:40 am
After months of teasing, on April 3 staff of the Securities and Exchange Commission (“SEC”) issued a long-awaited Framework for “Investment Contract” Analysis of Digital Assets. [read post]
13 Jan 2013, 5:34 am
Securities and Exchange Commission ("SEC") effectively froze the creation of actively managed and leveraged exchange traded funds ("ETFs") that utilize options, futures, swaps, and other derivatives as part of their investment strategies, the SEC has lifted the moratorium on the use of derivatives by actively managed funds while continuing to restrict the use of derivatives by leveraged ETFs. [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]
14 Jul 2009, 2:17 pm
The SEC announced settlements with three former officers: On July 14, 2009, the Securities and Exchange Commission (the Commission) filed settled Final Judgments against L. [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]
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]
6 Mar 2015, 6:04 am
Securities and Exchange Commission. [read post]
13 May 2022, 8:59 am
5Cir Issues Historic Rebuke of SEC ALJ SystemCongress has given the Securities and Exchange Commission substantial power to enforce the nation's securities laws. [read post]
14 May 2007, 5:15 am
For more on this topic, go to Corporate Governance, the Securities and Exchange Commission, and the Limits of DisclosureThese efforts arose from the Agency’s growing understanding of the connection between accurate disclosure and internal accountability. [read post]
