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14 Sep 2011, 2:34 pm
A Senate subcommittee approved a bill to increase funding by about 19 percent for the Securities and Exchange Commission and the Commodity Futures Trading Commission. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
10 Dec 2007, 4:18 am
Patrick Kirkland, the primary architect of a fraudulent securities scheme involving the sale of real estate investments known as triplexes, was sued by the Securities and Exchange Commission. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
3 Jan 2024, 9:40 am
Securities and Exchange Commission Commissioner Mark T. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
12 Nov 2008, 4:09 pm
On Monday, November 10, 2008, Forest Laboratories, Inc. filed a quarterly report with the Securities and Exchange Commission, revealing that it had agreed in principle to a settlement amounting to $65 million in In re: Forest Laboratories, Inc. [read post]
27 Oct 2006, 5:13 am
Treadway, settled a securities fraud case brought by the Securities and Exchange Commission by paying a $572,000 fine, the S.E.C. said yesterday. [read post]
12 Mar 2018, 3:11 am
Speaking at Washington, DC, on January 22, 2018, Securities and Exchange Commission Chairman, Jay Clayton spoke about two issues before the Commission: (1) his expectations for market professionals, particularly when dealing with new products or new forms of old products, especially concerning Initial Coin Offerings (“ICO”)and (2) the SEC’s approach to remaining Dodd-Frank rulemaking mandates. [read post]
30 Nov 2020, 6:09 am
The defining difference between them is that exchanges choose to register as self-regulatory organizations, with closer supervision by the Securities and Exchange Commission (“SEC”), while ATSs make use of an exemption from registration as exchanges to operate in a less regulated environment. [read post]
23 Aug 2022, 6:19 am
According to news reports, including the Washington Post, Peiter Zatko, Twitter’s former head of security, has filed a whistleblower complaint with the Securities & Exchange Commission, which says the company has misled regulators about its security measures. [read post]
17 Jun 2011, 12:49 pm
The Securities and Exchange Commission is broadening its investigation into the world of [read post]
26 Oct 2022, 8:27 am
The Securities and Exchange Commission today adopted rules to require securities exchanges to adopt listing standards that require issuers to develop and implement a policy providing for the recovery of erroneously awarded incentive-based compensation…Read the Full Press ReleaseHave a securities law question? [read post]
25 Oct 2007, 2:36 pm
Weisberg’s resignation comes after federal prosecutors and the Securities and Exchange Commission charged him with participating in a fraud and money-laundering operation involving two companies, Xybernaut [...] [read post]
26 Jan 2010, 8:58 pm
Court of Appeals for the Fifth Circuit has affirmed the Securities and Exchange Commission’s lifetime bar against a former Southwest Securities Inc. stockbroker. [read post]
23 Feb 2018, 4:00 am
A federal court ordered the man to stop selling securities, following a Securities and Exchange Commission investigation in 2014 The man pleaded not guilty to the charges. [read post]
30 Jan 2025, 10:21 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 25, 2025, which will include discussion of capital raising challenges facing emerging fund managers…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
