Search for: "Securities and Exchange Commission"
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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]
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]
16 Dec 2008, 10:24 pm
Securities and Exchange Commission in 1999. [read post]
11 Sep 2018, 1:33 pm
The issuance of digital tokens in exchange for services rather than money still can constitute an offering of securities, according to findings recently made by the Securities and Exchange Commission in a settled enforcement action, In the Matter of Tomahawk Exploration LLC and David Thompson Laurance, Securities Act Rel. [read post]
25 Jan 2022, 5:44 am
Securities and Exchange Commission. [read post]
23 Feb 2011, 10:53 am
According to regulatory filings with the Securities and Exchange Commission (SEC), earlier this month regulatory authorities sent a "Wells Notice" to E*Trade Securities alleging securities law violations in connection with the firm's sale of Auction Rate Securities. [read post]
7 Oct 2009, 7:06 pm
Securities and Exchange Commission officials and top state securities regulators. [read post]
4 Sep 2008, 5:40 am
News release: "The Securities and Exchange Commission today charged two Wall Street brokers with defrauding their customers when making more... [read post]
8 Apr 2010, 2:11 pm
At its next Open Meeting, April 14, the SEC will consider: Item 1: The Commission will consider whether to propose a large trader reporting requirement, pursuant to Section 13(h) of the Securities Exchange Act of 1934, which would require large... [read post]
16 Mar 2022, 1:36 pm
The Securities and Exchange Commission today announced that Dave A. [read post]
1 Dec 2023, 10:24 am
Private Placements Private placements – securities that aren’t traded on a securities exchange like the New York Stock Exchange – pay a much higher commission than you’d see with a stock, bond, or mutual fund that is traded every moment of every day. [read post]
20 Jun 2023, 3:45 pm
The Securities and Exchange Commission today reopened the comment period for its proposed rule for position reporting of large security-based swap positions that exceed certain thresholds, and the staff of the Commission’s Division of Economic and Risk…Read the Full Press Release Have a securities law question? [read post]
1 Oct 2015, 11:21 am
Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) on Sept. 15, 2015 issued Risk Alert to announce its new focus on cybersecurity of securities firms and registered investment advisers. [read post]
22 May 2019, 9:02 am
The US Securities and Exchange Commission (SEC) has filed civil charges against Charles Nilosek for acting as an unregistered broker and illegally selling Woodbridge securities to retail investors. [read post]
26 Apr 2021, 9:53 am
The political currents that have roiled US society often are echoed in the policy choices made by the Securities and Exchange Commission. [read post]
3 Dec 2019, 6:44 am
The Securities and Exchange Commission (SEC) has barred Roach for his role in promoting DC Solar, which this SEC alleges operated as a Ponzi scheme that defrauded investors of about $1 billion. [read post]
12 Jun 2011, 2:25 pm
Joan MacLeod Heminway has posted Sustaining Reform Efforts at the SEC: A Progress Report on SSRN with the following abstract: Many recent articles written by U.S. legal practitioners and law scholars in the wake of the financial crisis address regulatory... [read post]
15 Jun 2015, 7:43 am
In addition, the exchange must agree to list the ETP securities for trading and have in place Commission-approved listing standards. [read post]
27 Sep 2007, 11:38 am
The Securities and Exchange Commission (SEC) has published a "plain English" summary of the law to help new advisers understand their compliance responsibilities. [read post]
14 Mar 2019, 3:51 pm
Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (known as “FINRA”), the FBI, and the State of Massachusetts are investigating GPB Capital Holdings LLC (“GPB”) With all the recent news regarding GPB, one investigative authority has fallen under the radar – The New York City Business Integrity Commission. [read post]
