Search for: "Securities and Exchange Commission"
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2 Jul 2019, 12:23 pm
On June 21, the Securities and Exchange Commission (SEC) adopted new rules and rule amendments to establish capital, margin and segregation requirements under Title VII of the Dodd-Frank Act. [read post]
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]
4 Feb 2009, 6:28 pm
The Securities and Exchange Commission wants feedback about the Financial Industry Regulatory Authority's proposal on new financial responsibility rules. [read post]
28 Aug 2018, 11:12 am
On August 20, 2018, the Securities and Exchange Commission adopted amendments to Rule 15c2-12 of the Securities Exchange Act in order to enhance transparency in the municipal securities market. [read post]
20 Jun 2020, 1:50 am
Financial Industry Regulatory Authority, Appellee (Judgment, DCCir)Securities and Exchange Commission and Justice Department’s Antitrust Division Sign Historic Memorandum of Understanding (SEC Release)Justice Department’s Antitrust Division And The Securities And Exchange Commission Sign Historic Memorandum Of Understanding (DOJ Release)Modernizing U.S. [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]
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]
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]
30 May 2019, 6:18 am
Securities and Exchange Commission. [read post]
13 Aug 2012, 11:10 am
Commodity Futures Trading Commission and Securities Exchange Commission are jointly adopting the following rule and interpretations under the Commodity Exchange Act (‘‘CEA’’) and the Securities Exchange Act of 1934 (‘‘Exchange Act’’) to further define the terms ‘‘swap,’’ ‘‘security-based swap,’’ and… [read post]
16 Nov 2020, 3:00 pm
The Securities and Exchange Commission announced a new initiative focused on complex products: The Exchange-Traded Products Initiative. [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]
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]
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]
23 Aug 2010, 5:48 am
Securities & Exchange Commission, No. 09-1042 (D.C. [read post]
16 Nov 2020, 7:20 am
The SEC charges 3 RIAs and 2 Broker-dealers with Unsuitable Sales of Complex Exchange-Traded Products According to a press announcement on November 13, the Securities and Exchange Commission reportedly settled actions against three investment advisory firms and two dually-registered broker-dealer and advisory firms for alleged violations that related to unsuitable sales of complex exchange-traded products to retail investors. [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]
