Search for: "Securities and Exchange Commission"
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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]
10 Jan 2024, 9:02 pm
Securities and Exchange Commission (SEC) approval. [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]
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]
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]
18 Sep 2009, 12:56 pm
Here is the introduction to the release: The Securities and Exchange Commission ("Commission") is... [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]
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]
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]
5 Nov 2010, 4:42 pm
The Securities and Exchange Commission [read post]
24 Jan 2022, 6:30 am
On December 15, 2021, the Securities and Exchange Commission (“SEC”) proposed for comment new rules that would require any person or group of persons who owns security-based swap positions that exceed a specified reporting threshold amount to publicly report on a new Schedule 10B the positions and certain related information within one business day following execution of the security-based swap transaction that triggers the reporting… [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]
26 Oct 2016, 7:51 am
On October 18, 2016, the Securities and Exchange Commission (“SEC”) issued cease-and-desist proceedings pursuant to Section 8A of the Securities Act of 1933 (“Securities Act”), Sections 15(b), and 21C of the Securities Exchange Act of 1934 (“Exchange Act”), Section 203(f) of the Investment Advisors Act of 1940 (“Advisors Act”), and Section 9(b) of the Investment Company Act of 1940… [read post]
25 Jan 2022, 5:44 am
Securities and Exchange Commission. [read post]
