Search for: "In Re Securities and Exchange Commission"
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19 Feb 2015, 1:30 pm
As a result of the Snowden disclosures, the European Commission re-opened a review of the TFTP program. [read post]
15 May 2023, 9:51 am
The Securities and Exchange Commission recently released a staff bulletin to offer further guidance to brokers, broker-dealers, and investment advisors. [read post]
6 Jul 2022, 11:13 am
When it comes to claims against broker-dealers, Silver Law works with clients to submit complaints with the Financial Industry Regulatory Authority (FINRA), a government-authorized not-for-profit organization that oversees U.S. broker-dealers, and the Securities and Exchange Commission. [read post]
14 Sep 2010, 12:47 pm
Here's the relevant language, parsed of exceptions: The Commission shall, by rule, direct the national securities exchanges and national securities associations to prohibit the listing of any equity security of an issuer ... that does not comply with the requirements of this subsection. [read post]
15 May 2018, 7:00 am
Back in 2012, the Securities and Exchange Commission filed suit against Yorkville Advisors for valuation failures. [read post]
8 Jul 2013, 8:39 am
District Court for the District of Columbia vacated a rule promulgated by the Securities and Exchange Commission (“SEC”) that would have required energy companies to publicly disclose payments to U.S. and foreign governments in connection with the commercial development of oil, natural gas, or minerals. [read post]
22 Jan 2007, 9:40 am
While the Securities and Exchange Commission approved new executive pay disclosure rules in July, investors are continuing their efforts to seek additional reforms at U.S. companies. [read post]
8 Sep 2020, 7:30 am
The Senate, Securities and Exchange Commission (“SEC”), and Nasdaq are in support of rule changes to restore faith in the marketplace and protect investors. [read post]
15 Feb 2024, 9:05 pm
On January 24, 2024, the Securities and Exchange Commission (SEC) adopted final rules that impose significant additional procedural and disclosure requirements on initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and in business combination transactions involving SPACs (de-SPACs). [read post]
16 Nov 2012, 9:14 am
The FINRA securities arbitration award and decision and in Michigan follows a 2011 arbitration award in Pittsburgh, andandnbsp; another identical securities arbitration award and decision in Philadelphia in June 2012. [read post]
10 Jul 2013, 12:53 am
The senator lamented that the federal court ruling will delay implementation of vital transparency rules that would shine much needed light on information designed to protect investors and promote U.S.energy security. [read post]
1 May 2008, 9:04 am
In 2003 and 2004, according to the complaint, Blount Parrish participated in every Jefferson County municipal bond offering The SEC charged Langford, Blount and Blount Parrish with violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act. [read post]
15 Jun 2023, 12:44 pm
In our last post, we went over a brief history of the Securities and Exchange Commission (SEC) whistleblower program—including its creation in the aftermath of the catastrophic multi-billion dollar Ponzi schemes run by Bernard Madoff and Alan Stanford, and the recognition that the SEC had been repeatedly warned about both frauds but failed to act on the information. [read post]
30 Nov 2023, 4:28 am
ShareWednesday’s argument in Securities and Exchange Commission v. [read post]
1 May 2015, 3:00 am
” Here’s the abstract: An emerging literature shows that shareholders benefit from the Securities and Exchange Commission’s (SEC) filing review process in terms of improved disclosures and reduced information asymmetry. [read post]
14 Apr 2009, 1:29 pm
http://www.latimes.com/business/la-fi-ponzi14-2009apr14,0,1970546.storyBy Stuart Pfeifer April 14, 2009Maximum Return Investments of El Segundo and its owner misappropriated or lost $23 million from about 150 Latino investors in California and six other states, the federal regulator said in a lawsuit.The Securities and Exchange Commission filed a lawsuit Monday against an El Segundo investment firm, accusing its owner of operating a $23-million Ponzi scheme that… [read post]
11 Apr 2013, 5:00 am
The Securities and Exchange Commission adopted new rules requiring investment advisers, broker-dealers, mutual funds, and certain other entities regulated by the agency to adopt programs to detect red flags and prevent identity theft. [read post]
12 Mar 2018, 2:11 pm
” This statement is famously attributed to Jerome Frank, a Securities & Exchange Commission chairman and federal appellate judge during the FDR era. [read post]
6 Oct 2011, 11:58 am
The new Securities and Exchange Commission's Office of the Whistleblower opened on August 12, 2011. [read post]
22 Aug 2023, 6:30 am
Uyeda, who voted against the Amendments, expressed their disapproval of several aspects of the Amendments, including the mandatory liquidity fee framework, and suggested that the framework should have been re-proposed for additional public comment. [read post]
