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23 Feb 2010, 11:23 am
Today, the Securities and Exchange Commission (SEC) filed a securities fraud lawsuit in Sacramento federal court charging two Sacramento-area men with the misappropriating approximately $10 million from over 100 investors who were falsely promised that the funds were safe, liquid, high-yield investments that were secured by deeds of trust. [read post]
23 Aug 2007, 7:43 am
Securities and Exchange Commission (SEC) Chairman Christopher Cox recently delivered an SEC staff "white paper" to Congress that calls for significant improvements in disclosure and accounting in the municipal securities market to better protect investors. [read post]
1 Sep 2009, 7:30 am
The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) have all recently warned that leveraged exchange traded funds (ETFs) are very dangerous investments and not suitable for most retail investors. [read post]
5 Nov 2010, 4:42 pm
The Securities and Exchange Commission [read post]
22 Sep 2011, 1:17 pm
David Kotz, Inspector General of the Securities and Exchange Commission, Before the Subcommittee on Oversight and Investigations, Committee on Financial Services, and Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs, Committee on... [read post]
11 Oct 2017, 4:02 pm
Robbennolt have posted An Empirical Study of Admissions in SEC Settlements on SSRN with the following abstract: Transparency and accountability were the announced aims of the Securities and Exchange Commission (SEC) as it unveiled a... [read post]
22 Sep 2011, 1:13 pm
Securities and Exchange Commission, Before the Subcommittee on Oversight and Investigations of the U.S. [read post]
6 Sep 2009, 8:10 am
Atkins, Securities and Exchange Commission (SEC), and Bradley J Bondi, Counsel to SEC Commissioner; Adjunct Professor of Law, was recently posted... [read post]
31 Jan 2014, 1:39 pm
Securities and Exchange Commission authorized the issuance of proposed rules... [read post]
27 Aug 2011, 11:08 am
Crowdfunding Microstartups: It's Time for the Securities and Exchange Commission to Approve a Small Offering Exemption, by Nikki D. [read post]
26 May 2013, 1:41 pm
Desire, Conservatism, Underfunding, Congressional Meddling, and Study Fatigue: Ingredients for Ongoing Reform at the Securities and Exchange Commission? [read post]
14 Sep 2011, 7:27 pm
Attorneys at the Securities and Exchange Commission have filed litigation against two Florida men alleging that they defrauded teachers and retirees in a $22 million Ponzi scheme by posing as a private equity fund. [read post]
7 Sep 2012, 11:45 am
The Securities and Exchange Commission today announced that its market technology roundtable, which was scheduled for Sept. 14, will be held on Oct. 2. [read post]
27 Oct 2009, 9:41 pm
Securities and Exchange Commission, SIFMA Annual Conference, New York, New York, October 27, 2009 [read post]
20 Dec 2009, 6:35 am
Evolutionary Enforcement at the Securities and Exchange Commission, by Jayne W. [read post]
3 Feb 2013, 8:48 am
Here is the abstract: The Staff of the Securities and Exchange Commission has announced... [read post]
17 Jul 2010, 12:13 pm
Here is the abstract: This study examines the conditions under which the Securities and Exchange Commission (SEC) exercises... [read post]
24 May 2013, 11:31 am
The White House announced that it is nominating two individuals to seats on the SEC: Michael Sean Piwowar, of Virginia, to be a Member of the Securities and Exchange Commission for a term expiring June 5, 2018, vice Troy A.... [read post]
17 May 2012, 1:42 pm
Securities and Exchange Commission, testified today before the Committee on Financial Services, U.S. [read post]
14 Sep 2011, 7:27 pm
Attorneys at the Securities and Exchange Commission have filed litigation against two Florida men alleging that they defrauded teachers and retirees in a $22 million Ponzi scheme by posing as a private equity fund. [read post]
