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14 Feb 2007, 4:36 am
A recent order was issued by the Securities and Exchange Commission (SEC) against Ashland Inc. [read post]
19 May 2022, 12:02 pm
Congress has given the Securities and Exchange Commission substantial power to enforce the nation’s securities laws. [read post]
15 Aug 2022, 1:40 pm
The Securities and Exchange Commission today charged 18 individuals and entities for their roles in a fraudulent scheme in which dozens of online retail brokerage accounts were hacked and improperly used to purchase microcap stocks to manipulate the…Read the Full Press ReleaseHave a securities law question? [read post]
29 Sep 2020, 12:09 pm
The Securities and Exchange Commission today announced that the credit ratings agency Kroll Bond Rating Agency Inc. [read post]
1 Jun 2021, 12:44 pm
Securities and Exchange Commission (SEC), as a Senior Counsel for the SEC’s Division of Enforcement, and as a private attorney handling white collar matters nationwide.The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a well-known, national securities lawyer [read post]
14 Oct 2015, 5:00 am
While I understand the likely resistance to the suggested mandate and believe it is more appropriately the province of the exchanges (e.g., the NYSE already requires its listed companies to have an internal audit function) rather than the SEC, as noted previously, I am a firm believer – based on my personal experience – in the benefits attainable by a strong internal audit function. [read post]
2 Jan 2020, 1:38 pm
The Securities and Exchange Commission today charged six individuals and their companies with participating in schemes that allegedly generated more than $35 million of illegal sales of stock in at least 45 microcap companies. [read post]
9 Jan 2018, 12:24 pm
FBI Director Christopher Wray spoke on Jan. 9 to the International Conference on Cyber Security. [read post]
16 Oct 2017, 11:09 am
” In a news release, the Colorado Securities Division stated that an LPL Securities internal investigation concluded that Ms. [read post]
20 Mar 2012, 5:37 pm
The proposal will introduce, in line with international partners, common standards across the EU for securities settlement and CSDs to ensure a true single market for the services provided by national CSDs.Settlement is an important process, which ensures the exchange of securities against cash following a securities transaction, for instance an acquisition or a sale of securities). [read post]
11 Jan 2019, 8:16 am
Trump reversed ZTE penalties in exchange for trade concessions with China. [read post]
11 Jan 2019, 8:16 am
Trump reversed ZTE penalties in exchange for trade concessions with China. [read post]
15 May 2008, 12:58 pm
 But ETNs have a big difference:  They are debt securities, not equity securities. [read post]
3 Nov 2010, 7:13 am
This new policy both accounts for those changes, and reflects the fact that space has become an even more important component of our collective economic and international security. [read post]
21 Dec 2010, 1:18 pm
The National Whistleblowers Center (NWC) publicly released its report to the Securities and Exchange Commission entitled "Impact of Qui Tam Laws on Internal Compliance. [read post]
6 Oct 2017, 1:41 pm
The Securities and Exchange Commission today announced that Robert Evans III has been named Chief of the Office of International Corporate Finance in the agency’s Division of Corporation Finance. [read post]
7 Apr 2015, 9:31 am
On April 1, the Securities and Exchange Commission (“SEC”) settled its first enforcement action against a company for violating whistleblower protections by including restrictive language in confidentiality agreements used in its internal investigations. [read post]
7 Apr 2015, 9:31 am
On April 1, the Securities and Exchange Commission (“SEC”) settled its first enforcement action against a company for violating whistleblower protections by including restrictive language in confidentiality agreements used in its internal investigations. [read post]
28 Sep 2016, 7:39 am
” The SEC’s order finds that Anheuser-Busch, which is headquartered in Leuven, Belgium, violated the books and records provisions and the internal controls provisions of the federal securities laws as well as Securities Exchange Act Rule 21F-17(a). [read post]
20 Apr 2015, 10:00 am
On April 1, 2015, the Securities & Exchange Commission (the “SEC” or “Commission”) fined a public company $130,000 for requiring employees involved in internal investigations to sign a confidentiality agreement that the Commission deemed violative of the whistleblower protections contained in the Dodd-Frank Act. [read post]
