Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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23 Jun 2009, 11:40 pm
On June 4, 2009, the Securities and Exchange Commission filed a complaint against Angelo Mozilo, David Sambol, and Eric Sieracki, in the United States District Court, for the Central District of California, Case number CV 09-03994 VBF (AJWx). [read post]
6 Jun 2017, 2:08 pm
In a unanimous decision, the United States Supreme Court has reined in the authority of the Securities and Exchange Commission (“SEC”) to recover ill-gotten gains, holding that the five-year statute of limitations period applicable to SEC enforcement actions extends to disgorgement. [read post]
12 Mar 2024, 12:25 pm
Here is the abstract: The United States Supreme Court has taken varied approaches in cases arising under the federal securities laws, in some periods interpreting those laws broadly to expand the powers of the Securities and Exchange Commission and investors to obtain remedies against alleged violators while, in other periods, either interpreting those laws restrictively to limit the availability of relief or adopting a more even-handed… [read post]
17 Mar 2008, 7:00 am
This market is expected to continue to grow rapidly, and extend from Europe to the United States. [read post]
16 Apr 2024, 7:19 am
The case involves Rule 10b-5 of the Securities and Exchange Commission. [read post]
16 Nov 2010, 6:30 am
On Friday, The Securities and Exchange Commission will be considering rules that should be of interest to private investment fund managers. [read post]
28 Feb 2013, 11:08 am
The United States Supreme Court adopted a strict interpretation of the five-year period in which the Securities and Exchange Commission may seek to impose a civil penalty on a registered investment adviser. [read post]
28 Feb 2013, 11:08 am
The United States Supreme Court adopted a strict interpretation of the five-year period in which the Securities and Exchange Commission may seek to impose a civil penalty on a registered investment adviser. [read post]
10 Feb 2010, 5:00 am
In the short term, however, the Securities and Exchange Commission should act. [read post]
3 Nov 2023, 11:09 am
In Securities & Exchange Commission v. [read post]
12 Feb 2016, 11:29 am
On February 5, 2016, the Securities and Exchange Commission (“SEC”) filed a Complaint in the United States District Court for the District of Connecticut (the “Complaint”) charging Dennis Wayne Hamilton, the Vice President of Tax for Harman International Industries, Inc. [read post]
9 May 2013, 11:17 am
The Securities and Exchange Commission (“SEC”) relies upon the securities exchanges (e.g., the New York Stock Exchange) to enforce Section 15(g). [read post]
12 Sep 2020, 6:10 am
The Securities and Exchange Commission issued its long-awaited amendments to Regulation S-K, the regulation which contains the detailed disclosure requirements (other than financial statements) applicable to registration statements, periodic reports, proxy statements, and other filings under the United States federal securities laws. [read post]
19 Oct 2016, 7:12 am
Over the past several months, UDF IV has publicly stated it was working to file its 2015 annual report and its past three quarterly reports with the Securities and Exchange Commission in order to start trading again. [read post]
7 Nov 2018, 7:55 am
The Securities and Exchange Commission says “no. [read post]
17 Jun 2022, 12:03 pm
The United States Securities and Exchange Commission (SEC) has filed a Complaint charging a Broker-Dealer for the first time with a violation of the recently enacted Regulation Best Interest (Reg BI). [read post]
16 Aug 2022, 11:47 am
The United States Securities Exchange Commission (SEC) recently issued a Staff Bulletin which discussed the use of sales contests or other sales incentives by FINRA Broker-Dealer firms in the context of SEC Regulation Best Interest (Reg BI). [read post]
15 May 2019, 7:12 am
Also, the SEC is requesting comment on two proposed alternative exceptions from the requirement in Exchange Act Rule 3a71-3(b)(1)(iii)(C) to count transactions toward the de minimis threshold: The first alternative proposal (Alternative 1) conditionally would permit a non-U.S. person not to count security-based swap dealing transactions at issue against the de minimis thresholds so long as all arranging, negotiating or executing activity within the United States… [read post]
17 May 2013, 10:56 am
Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award. [read post]
31 Aug 2016, 10:00 am
.; Law Clerk, The Health Law Firm On August 16, 2016, Health Net Inc. agreed to pay a $340,000 penalty to the United States Securities and Exchange Commission (SEC) for allegedly using severance agreements to restrict the rights of whistleblowers. [read post]
