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26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
8 Dec 2022, 10:00 pm
Blog AbstractJust shy of a month since FTX declared bankruptcy, the US Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance (Division or staff) published informal guidance on how public companies could be asked to address the possible impact of financial distress in the cryptoasset market. [read post]
8 Dec 2022, 10:00 pm
Blog AbstractJust shy of a month since FTX declared bankruptcy, the US Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance (Division or staff) published informal guidance on how public companies could be asked to address the possible impact of financial distress in the cryptoasset market. [read post]
8 Dec 2022, 10:00 pm
Blog AbstractJust shy of a month since FTX declared bankruptcy, the US Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance (Division or staff) published informal guidance on how public companies could be asked to address the possible impact of financial distress in the cryptoasset market. [read post]
8 Dec 2022, 10:00 pm
Blog AbstractJust shy of a month since FTX declared bankruptcy, the US Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance (Division or staff) published informal guidance on how public companies could be asked to address the possible impact of financial distress in the cryptoasset market. [read post]
9 Feb 2022, 11:27 am
Ex-Landolt Securities Broker Ran Now-Defunct Retirement Planning Institute Anthony Matthew Cottone, an ex-Landolt Securities stockbroker, has been charged by the US Securities and Exchange Commission (SEC) with fraudulently running Secured Capital Strategies Fund. [read post]
24 Jun 2015, 9:05 pm
Tags: administrative law, judges, Securities and Exchange CommissionFederal court: SEC cannot use employees as judges is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
14 Jul 2009, 5:00 am
Moreover, by having the Exchange be subject to oversight of the Iraq Securities Commission, the structure seems to duplicate the model in the US. [read post]
18 Dec 2015, 1:23 pm
The civil settlements were announced Friday by the Securities and Exchange Commission and the Commodity Futures Trading Commission. [read post]
26 Jul 2009, 5:52 pm
The US Securities and Exchange Commission has charged Provident Royalties, LLC, Provident Asset Management LLC, and founders Brendan Coughlin, Paul Melbye, and Henry Harrison with Texas securities fraud over their alleged involvement in a $485 million investment scam. [read post]
25 Jul 2022, 4:22 am
The Security and Exchange Commission (SEC) Monday filed charges against former US congressman Stephen Buyer for insider trading. [read post]
30 Jul 2008, 10:49 pm
News release: "The Securities and Exchange Commission today voted unanimously to provide new guidance to public companies about how to... [read post]
5 Dec 2011, 8:14 am
The Securities and Exchange Commission (SEC) has implemented a new program -- called the Aberrational Performance Inquiry (API) -- that has resulted in enforcement proceedings against three hedge funds for overstating material aspects of their business. [read post]
6 Oct 2009, 5:18 am
A recently filed lawsuit claims advisers with Securities America chose to ignore obvious red flags in an effort to sell hundreds of millions of dollars' worth of securities notes in Medical Capital Holdings, a California medical receivables company that now faces securities fraud charges from the Securities and Exchange Commission (SEC). [read post]
3 Jan 2010, 4:55 am
Open Letter to the Securities and Exchange Commission: After carefully examining certain conflicting and contradictory disclosures by Overstock.com (NASDAQ: OSTK), I recommend that you should also investigate whether the company engaged in improper audit "opinion shopping" in hiring both Grant Thornton, who replaced PricewaterhouseCoopers (PWC) as the company's auditors and KMPG, who replaced Grant Thornton after they were fired by the company. [read post]
11 Jan 2011, 10:27 am
” Securities Exchange Act Release No. 37588, 1996 SEC LEXIS 2285, at *29 (August 20, 1996), 61 FR 44100, 44107 (August 27, 1996) (Notice of Filing and Order Granting Accelerated Approval of NASD’s Interpretation of Its Suitability Rule). [read post]
11 Jan 2011, 10:27 am
FINRA has stated that andldquo;defining the term andlsquo;recommendationandrsquo; is unnecessary and would raise many complex issues in the absence of specific facts of a particular case.andrdquo; Securities Exchange Act Release No. 37588, 1996 SEC LEXIS 2285, at *29 (August 20, 1996), 61 FR 44100, 44107 (August 27, 1996) (Notice of Filing and Order Granting Accelerated Approval of NASDandrsquo;s Interpretation of Its Suitability Rule). andnbsp; Strategies andnbsp; The new rule… [read post]
22 Dec 2021, 8:36 am
One settlement is with the US Securities and Exchange Commission (SEC) and the other with the Commodity Futures Trading Commission (CFTC). [read post]
