Search for: "US Securities and Exchange Commission"
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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]
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
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]
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]
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]
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]
4 Aug 2008, 1:15 pm
This is discussed at length in Corporate Governance, the Securities and Exchange Commission, and the Limits of Disclosure. [read post]
28 Jun 2024, 10:57 am
The Securities and Exchange Commission today charged Consensys Software Inc. with engaging in the unregistered offer and sale of securities through a service it calls MetaMask Staking and with operating as an unregistered broker through MetaMask Staking and another service it calls MetaMask Swaps. [read post]
22 Feb 2011, 5:00 am
According to a story in Investment News, the Securities and Exchange Commission began a sweep of investment advisers’ use of social media and social networking last month. [read post]
20 Dec 2006, 5:06 am
A Russian trader, operating through an Estonian brokerage firm, found a simpler way to pump and dump stocks, the Securities and Exchange Commission said Tuesday. [read post]
6 Aug 2009, 5:08 am
Attorney Dan Hurson used to work for the Securities and Exchange Commission (SEC). [read post]
18 Apr 2014, 6:04 am
Securities and Exchange Commission. [read post]
25 May 2022, 6:22 am
Nasdaq and a group of securities exchanges challenged the 2020 rule as arbitrary and capricious. [read post]
28 Aug 2020, 12:48 pm
Securities and Exchange Commission adopted final rules that amend the definitions of “accredited investor” and “qualified institutional buyer” which are central to classifying investors that may participate in private offerings and investments under federal securities laws. [read post]
8 Sep 2023, 7:01 am
The Securities and Exchange Commission today announced settled charges against Monolith Resources LLC, a privately held energy and technology company headquartered in Lincoln, Nebraska, for using employee separation agreements that violated the SEC’s…Read the Full Press Release Have a securities law question? [read post]
18 Mar 2024, 5:06 am
The Securities and Exchange Commission today announced settled charges against two investment advisers, Delphia (USA) Inc. and Global Predictions Inc., for making false and misleading statements about their purported use of artificial intelligence (AI). [read post]
3 Jun 2020, 10:06 am
The Securities and Exchange Commission contends that in various circumstances cryptocurrency and token offerings constitute “securities” that must comply with securities laws. [read post]
15 Jul 2008, 9:28 pm
While no true definition of a private placement exists, it is commonly used to refer to the raising of capital (i.e., “securities”) without making a registration with the United States Securities and Exchange Commission (SEC). [read post]
9 Dec 2019, 3:29 pm
On November 25, the Securities and Exchange Commission (SEC) voted to propose new rules and rule amendments to update the existing regulations on the use of derivatives by registered investment companies and business development companies. [read post]
7 Sep 2018, 5:00 am
Securities Fraud Charges Hit Sherman Oaks Real Estate FirmThe Securities and Exchange Commission filed securities fraud charges against five Florida residents last month. [read post]
