Search for: "Securities and Exchange Commission"
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17 May 2012, 1:42 pm
Securities and Exchange Commission, testified today before the Committee on Financial Services, U.S. [read post]
10 Oct 2010, 5:51 am
Reframing and Reforming the Securities and Exchange Commission: Lessons from Literature on Change Leadership, by Joan MacLeod Heminway, University of Tennessee College of Law, was recently posted on SSRN. [read post]
8 Jun 2018, 12:07 pm
Timary Delorme (CRD #736418) was the subject of a March 2018 regulatory action by the Securities & Exchange Commission. [read post]
1 May 2014, 5:14 am
Securities and Exchange Commission, the court concluded that the provision of the […] [read post]
16 Feb 2017, 8:40 am
Securities and Exchange Commission [Public domain], via Wikimedia Commons By U. [read post]
12 Sep 2017, 5:20 pm
Securities and Exchange Commission 17-130 Issue: Whether administrative law judges of the Securities and Exchange Commission are officers of the United States within the meaning of the appointments clause. [read post]
10 Oct 2016, 5:43 pm
Urska Velikonja has posted Securities Settlements in the Shadows on SSRN with the following abstract: The Dodd-Frank Act authorized the Securities and Exchange Commission (“SEC”) to obtain civil fines against any person in administrative proceedings. [read post]
1 Sep 2009, 7:30 am
The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) have all recently warned that leveraged exchange traded funds (ETFs) are very dangerous investments and not suitable for most retail investors. [read post]
12 Jan 2021, 10:26 am
The Securities and Exchange Commission today announced that Marc P. [read post]
28 Jul 2017, 11:36 am
Securities and Exchange Commission (“SEC”) issued a report (“Report”) detailing its investigation into whether the DAO (an unincorporated “decentralized autonomous organization”), Slock.it UG (“Slock.it”), Slock.it’s co-founders, and intermediaries violated the federal securities laws. [read post]
28 Jul 2017, 11:36 am
Securities and Exchange Commission (“SEC”) issued a report (“Report”) detailing its investigation into whether the DAO (an unincorporated “decentralized autonomous organization”), Slock.it UG (“Slock.it”), Slock.it’s co-founders, and intermediaries violated the federal securities laws. [read post]
11 Mar 2024, 5:59 am
Securities Commission (the Commission) clarified the interpretation of “acting jointly or in concert” in the context of a proxy fight, setting a high bar for a finding of a joint actor relationship. [read post]
23 Aug 2007, 7:43 am
Securities and Exchange Commission (SEC) Chairman Christopher Cox recently delivered an SEC staff "white paper" to Congress that calls for significant improvements in disclosure and accounting in the municipal securities market to better protect investors. [read post]
9 Jul 2009, 4:29 pm
The SECstaff today issued the following statement: The staff of the Securities and Exchange Commission has expressed its belief that California's recently-issued IOUs are "securities" under federal securities law. [read post]
4 Mar 2011, 1:28 pm
Securities and Exchange Commission Chairman Harvey Pitt as an expert witness today, following Pitt’s decision a week ago to cut short his own deposition... [read post]
10 Jan 2024, 9:02 pm
Securities and Exchange Commission (SEC) approval. [read post]
18 Sep 2009, 12:56 pm
Here is the introduction to the release: The Securities and Exchange Commission ("Commission") is... [read post]
3 May 2019, 6:26 am
No. 85802 / May 7, 2019)https://www.sec.gov/litigation/opinions/2019/34-85802.pdf As set forth in the Syllabus of the SEC Order:Various national securities exchanges and National Market System (“NMS”) plan participants (collectively, “Movants”) request that the Commission reconsider an October 16, 2018 order. [read post]
20 Sep 2022, 8:32 am
SEC Charges Secured Income Group, Real Estate Investment Firm, with Fraud Involving its Secured Debentures According to a press announcement on September 15, 2022, the Securities and Exchange Commission has reportedly charged Secured Income Group, Inc, based in Orange County, CA, and its owner and president, and its investor relations representative, with a fraudulent offering. [read post]
27 Jun 2024, 10:00 pm
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. [read post]
