Search for: "Securities and Exchange Commission"
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7 Jul 2018, 7:03 am
Securities Exchange Commission (“SEC”) and Chairman Jay Clayton have repeatedly cautioned the cryptocurrency and initial coin offering (“ICO”) industries about the securities law implications for digital assets. [read post]
3 Jul 2019, 11:57 am
Securities and Exchange Commission. [read post]
28 Jun 2024, 10:57 am
The Securities and Exchange Commission today charged Consensys Software Inc. with engaging in the unregistered offer and sale of securities through a service it calls MetaMask Staking and with operating as an unregistered broker through MetaMask Staking and another service it calls MetaMask Swaps. [read post]
4 Mar 2021, 2:20 pm
Securities and Exchange Commission, which held that the process for appointing administrative law judges for the SEC violated the Constitution’s appointments clause. [read post]
31 Mar 2011, 12:18 pm
(Ally) in Ally’s registration statement filed with the Securities and Exchange Commission (SEC) for... [read post]
18 Jun 2010, 1:42 pm
The Australian Securities and Investments Commission (ASIC) and FINRA entered into a Memorandum of Understanding (MOU) today to promote and support greater cooperation between the two regulators. [read post]
8 Jun 2011, 1:47 pm
The SEC readopted, without change, the relevant portions of existing rules that govern beneficial ownership determinations under Sections 13 and 16 of the Securities Exchange Act of 1934. [read post]
10 Mar 2011, 12:48 pm
An independent consultant today presented Congress with a report examining the organization and operations of the Securities and Exchange Commission, as required by Section 967 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
10 Jul 2012, 6:59 am
The subject matter of the Open Meeting will be: The Commission will consider whether to adopt Rule 613 under Section 11A of the Securities Exchange Act, to require... [read post]
10 Jul 2015, 11:43 am
Vollmer has posted SEC Revanchism and the Expansion of Primary Liability Under Section 17(a) and Rule 10b-5 on SSRN with the following abstract: An important issue in many enforcement cases brought by the Securities and Exchange Commission is... [read post]
5 Aug 2014, 1:42 pm
Mercer Bullard has posted On Regulating Investors: The JOBS Act and the Accredited Investor Standard on SSRN with the following abstract: This abstract sketches novel approaches that the Securities and Exchange Commission may consider when evaluating the accredited investor standard... [read post]
11 Jan 2011, 10:44 am
., to pay $18 million into a Fair Fund to be established by the Securities and Exchange Commission (SEC) to repay investors in YieldPlus, an ultra short-term bond fund managed... [read post]
5 Aug 2015, 1:48 pm
The press relates states in part: The Securities and Exchange Commission today adopted a final rule that requires a public company to disclose the ratio of the compensation of its chief executive officer (CEO) to the median compensation of its... [read post]
8 Jun 2011, 1:47 pm
The SEC readopted, without change, the relevant portions of existing rules that govern beneficial ownership determinations under Sections 13 and 16 of the Securities Exchange Act of 1934. [read post]
18 Dec 2012, 11:06 am
The Securities and Exchange Commission today charged TheStreet Inc., which operates the website TheStreet.com, and three executives for their roles in an accounting fraud that artificially inflated company revenues and misstated operating income to investors. [read post]
18 Aug 2010, 2:55 pm
Department of the Treasury today announced that it has agreed to be named as a selling shareholder of common stock in General Motors Company's (GM) registration statement on Form S-1 filed with the Securities and Exchange Commission (SEC)... [read post]
9 Nov 2011, 1:28 pm
The Securities and Exchange Commission today announced that the agency filed a record 735 enforcement actions in the fiscal year that ended September 30. [read post]
4 Nov 2024, 6:00 am
On October 22, 2024, the Securities and Exchange Commission charged four public companies with making materially misleading disclosures about cybersecurity risks and intrusions.Continue Reading › [read post]
20 Nov 2009, 3:15 pm
On November 19, 2009, the Securities and Exchange Commission filed a civil injunctive action in the United States District Court for the District of Nevada against R. [read post]
30 Mar 2011, 1:34 pm
Securities and Exchange Commission; Federal Housing Finance Agency; and Department of Housing and Urban Development) are proposing... [read post]
