Search for: "Securities and Exchange Commission"
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28 Sep 2018, 9:02 am
Former Auditor Sentenced For Submitting Fraudulently Backdated Documents To The Securities And Exchange Commission (DOJ Release)https://www.justice.gov/usao-sdny/pr/former-auditor-sentenced-submitting-fraudulently-backdated-documents-securities-andFormer auditor and owner of a registered public accounting firm, Terry Johnson, pled guilty to submitting falsely backdated documents to the United States Securities and Exchange… [read post]
16 Mar 2022, 1:36 pm
The Securities and Exchange Commission today announced that Dave A. [read post]
20 Jun 2023, 3:45 pm
The Securities and Exchange Commission today reopened the comment period for its proposed rule for position reporting of large security-based swap positions that exceed certain thresholds, and the staff of the Commission’s Division of Economic and Risk…Read the Full Press Release Have a securities law question? [read post]
1 Oct 2015, 11:21 am
Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) on Sept. 15, 2015 issued Risk Alert to announce its new focus on cybersecurity of securities firms and registered investment advisers. [read post]
30 Apr 2015, 12:54 pm
On April 29, the Securities and Exchange Commission published proposed rules that would require non-United States persons that use United States personnel to arrange, negotiate or execute a security-based swap transaction in connection with its dealing activity to include such transaction for purposes of the de minimis exception set forth in Exchange Act Section 3(a)(71)(D). [read post]
12 Jun 2011, 2:25 pm
Joan MacLeod Heminway has posted Sustaining Reform Efforts at the SEC: A Progress Report on SSRN with the following abstract: Many recent articles written by U.S. legal practitioners and law scholars in the wake of the financial crisis address regulatory... [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]
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]
26 Apr 2021, 9:53 am
The political currents that have roiled US society often are echoed in the policy choices made by the Securities and Exchange Commission. [read post]
3 Dec 2019, 6:44 am
The Securities and Exchange Commission (SEC) has barred Roach for his role in promoting DC Solar, which this SEC alleges operated as a Ponzi scheme that defrauded investors of about $1 billion. [read post]
3 Oct 2016, 1:48 pm
On September 28, 2016 the Securities and Exchange Commission (“SEC”) voted to adopt new rules to establish “enhanced standards for the operation and governance of securities clearing agencies that are deemed systematically important or that are involved in complex transactions, such as security-based swaps. [read post]
22 Mar 2012, 11:18 am
The Securities and Exchange Commission is ready for battle. [read post]
14 Mar 2019, 3:51 pm
Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (known as “FINRA”), the FBI, and the State of Massachusetts are investigating GPB Capital Holdings LLC (“GPB”) With all the recent news regarding GPB, one investigative authority has fallen under the radar – The New York City Business Integrity Commission. [read post]
15 Jun 2015, 7:43 am
In addition, the exchange must agree to list the ETP securities for trading and have in place Commission-approved listing standards. [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]
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]
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]
25 Mar 2014, 8:51 am
And then, you stumble across a seemingly mundane press release from the Securities and Exchange Commission and it just strikes you as hilarious but for the fact that there’s not much humor in the release.Consider these opening line from an SEC press release (’34 Act Release No. 71814, March 27, 2014):The Securities and Exchange Commission (“Commission”) announced the temporary suspension, pursuant to Section… [read post]
16 Apr 2023, 9:01 pm
Securities and Exchange Commission. [read post]
28 Nov 2018, 6:51 am
Last month, I wrote about the complaint filed by Securities and Exchange Commission against Reginald Ringgold and his Blockvest initial coin offering. [read post]
