Search for: "Securities and Exchange Commission"
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6 Sep 2015, 11:05 am
Vollmer has posted Four Ways To Improve SEC Enforcement on SSRN with the following abstract: The enforcement program at the Securities and Exchange Commission has been the subject of severe criticism in recent years. [read post]
1 Jan 2011, 1:46 pm
Here is the abstract: This Article argues that the Securities and Exchange Commission’s first and most significant response to the economic... [read post]
10 Oct 2010, 5:51 am
Reframing and Reforming the Securities and Exchange Commission: Lessons from Literature on Change Leadership, by Joan MacLeod Heminway, University of Tennessee College of Law, was recently posted on SSRN. [read post]
8 Jun 2018, 12:07 pm
Timary Delorme (CRD #736418) was the subject of a March 2018 regulatory action by the Securities & Exchange Commission. [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]
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]
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]
10 Jan 2024, 9:02 pm
Securities and Exchange Commission (SEC) approval. [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]
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]
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]
