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30 Nov 2020, 2:20 pm
On November 19, 2020, Peter Driscoll, director of the Office of Compliance Inspection and Examination (“OCIE”) of the Securities and Exchange Commission (“SEC”), gave a speech urging advisory firms to empower their Chief Compliance Officers (“CCOs”). [read post]
10 Oct 2016, 5:43 pm
Urska Velikonja has posted Securities Settlements in the Shadows on SSRN with the following abstract: The Dodd-Frank Act authorized the Securities and Exchange Commission (“SEC”) to obtain civil fines against any person in administrative proceedings. [read post]
10 Jan 2024, 9:02 pm
Securities and Exchange Commission (SEC) approval. [read post]
9 Jul 2009, 4:29 pm
The SECstaff today issued the following statement: The staff of the Securities and Exchange Commission has expressed its belief that California's recently-issued IOUs are "securities" under federal securities law. [read post]
11 Mar 2024, 5:59 am
Securities Commission (the Commission) clarified the interpretation of “acting jointly or in concert” in the context of a proxy fight, setting a high bar for a finding of a joint actor relationship. [read post]
4 Mar 2011, 1:28 pm
Securities and Exchange Commission Chairman Harvey Pitt as an expert witness today, following Pitt’s decision a week ago to cut short his own deposition... [read post]
28 Jul 2017, 11:36 am
Securities and Exchange Commission (“SEC”) issued a report (“Report”) detailing its investigation into whether the DAO (an unincorporated “decentralized autonomous organization”), Slock.it UG (“Slock.it”), Slock.it’s co-founders, and intermediaries violated the federal securities laws. [read post]
28 Jul 2017, 11:36 am
Securities and Exchange Commission (“SEC”) issued a report (“Report”) detailing its investigation into whether the DAO (an unincorporated “decentralized autonomous organization”), Slock.it UG (“Slock.it”), Slock.it’s co-founders, and intermediaries violated the federal securities laws. [read post]
5 Nov 2010, 4:42 pm
The Securities and Exchange Commission [read post]
21 Jun 2010, 7:05 am
The Securities and Exchange Commission announced that the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) are filing proposed rules to clarify the process for breaking erroneous trades. [read post]
18 Sep 2009, 12:56 pm
Here is the introduction to the release: The Securities and Exchange Commission ("Commission") is... [read post]
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
20 Sep 2022, 8:32 am
SEC Charges Secured Income Group, Real Estate Investment Firm, with Fraud Involving its Secured Debentures According to a press announcement on September 15, 2022, the Securities and Exchange Commission has reportedly charged Secured Income Group, Inc, based in Orange County, CA, and its owner and president, and its investor relations representative, with a fraudulent offering. [read post]
7 Jan 2025, 8:00 am
Keep an eye on the SEC Proposed and Adopted Rules Tracker for the latest updates from the Securities and Exchange Commission.. [read post]
13 May 2008, 7:26 am
The information was disclosed to investors in a Wachovia filing with the Securities and Exchange Commission on May 12. [read post]
