Search for: "Securities and Exchange Commission"
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16 Apr 2023, 9:01 pm
Securities and Exchange Commission. [read post]
16 Apr 2010, 10:25 am
Not news specific to Minnesota civil litigation but still of interest: The stock market is “roiling” today and the consensus appears to be that it is due to the SEC’s charges brought today against Goldman Sachs in United States District Court, Eastern District of New York. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
5 Nov 2009, 1:36 pm
House Financial Services Committee Chairman Barney Frank sent a letter to Commodity Futures Trading Commission Chairman Gary Gensler and Securities and Exchange Commission Chairman Mary Schapiro seeking their input on efforts to strengthen the derivatives legislation recently approved by the... [read post]
29 Sep 2016, 5:24 am
SEC Release No. 34-78963 has been issued and states in part the following: The Securities and Exchange Commission (“SEC” or “Commission”) proposes to amend the definition of “covered clearing agency” under Rule 17Ad-22 to mean a registered clearing agency that... [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]
9 Sep 2020, 1:48 pm
Barred Ohio Stockbroker Accused of Over 500 Unsuitable Exchange Traded Fund Transactions Dominic Anthony Tropiano, a former registered broker in Ohio, is now facing US Securities and Exchange Commission (SEC) fraud charges. [read post]
14 Nov 2023, 4:30 pm
Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. [read post]
21 Feb 2007, 1:12 pm
Securities and Exchange Commission to revise its securities law enforcement policies that pressure corporate clients to waive attorney client privilege, work product protections and legal protections for employees during investigations. [read post]
22 Apr 2015, 6:02 am
On March 25, 2015, the Securities and Exchange Commission (“SEC” or “Commission”) proposed an amendment to Rule 15b9-1 (the “Proposal”) under the Securities Exchange Act of 1934 (“Exchange Act”) that, if adopted, would close an historical exception to the general requirement that registered broker-dealers must become members of a registered national securities association… [read post]
31 Jan 2018, 4:00 am
The Securities and Exchange Commission barred the man after he failed to respond to their inquiries. [read post]
15 Apr 2010, 12:34 pm
The Securities and Exchange Commission (SEC) announced that it has proposed new rules to govern the field of bonds backed by consumer loans, perhaps best known in its incarnation of mortgage-backed securities sold during the subprime housing boom. [read post]
3 Nov 2010, 10:14 am
The Securities and Exchange Commission is seeking comments on whether amendments should be made to federal securities laws so that private litigants can file transnational securities fraud lawsuits. [read post]
12 Apr 2011, 10:34 pm
"the Securities and Exchange Commission and Commodity Futures Trading Commission (collectively “Commissions”) delivered to Congress a joint staff study on... [read post]
8 Mar 2019, 9:44 am
Brokerage firm and investment adviser BB&T Securities has agreed to give back over $5M to retail investors, as well as pay the US Securities and Exchange Commission (SEC) a $500K penalty, to resolve charges that Valley Forge Asset Management misled advisory clients into thinking they were getting complete “full-service brokerage services in-house” at an up to 70% reduced rate, even as less costly alternatives were available. [read post]
