Search for: "Securities and Exchange Commission"
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31 Mar 2011, 12:18 pm
(Ally) in Ally’s registration statement filed with the Securities and Exchange Commission (SEC) for... [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]
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 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]
22 Jul 2024, 6:00 am
Securities Exchange Commission’s case against SolarWinds Corporation and its Chief Information Security Officer, Timothy Brown.Continue Reading › [read post]
24 Jun 2024, 6:00 am
On June 18, 2024, the US Securities and Exchange Commission announced a settlement with R.R. [read post]
20 Dec 2010, 4:23 pm
On December 20, the SEC issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's... [read post]
22 Jun 2009, 2:50 pm
Securities and Exchange Commission, presented Testimony Concerning Regulation of Over-The-Counter Derivatives Before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing and Urban Affairs, United States Senate, on June 22, 2009. [read post]
22 Nov 2013, 10:39 am
Seidt states: NASAA shares the concerns of the [Securities and Exchange Commission’s Investor Advisory Committee] and SEC Chair Mary Jo White that... [read post]
11 Jan 2011, 10:27 am
FINRA has stated that andldquo;defining the term andlsquo;recommendationandrsquo; is unnecessary and would raise many complex issues in the absence of specific facts of a particular case.andrdquo; Securities Exchange Act Release No. 37588, 1996 SEC LEXIS 2285, at *29 (August 20, 1996), 61 FR 44100, 44107 (August 27, 1996) (Notice of Filing and Order Granting Accelerated Approval of NASDandrsquo;s Interpretation of Its Suitability Rule). andnbsp; Strategies andnbsp; The new rule… [read post]
11 Jan 2011, 10:27 am
” Securities Exchange Act Release No. 37588, 1996 SEC LEXIS 2285, at *29 (August 20, 1996), 61 FR 44100, 44107 (August 27, 1996) (Notice of Filing and Order Granting Accelerated Approval of NASD’s Interpretation of Its Suitability Rule). [read post]
12 Jul 2012, 9:30 pm
The Securities and Exchange Commission (SEC) approved a final rule that requires national securities exchanges and the Financial Industry Regulatory Authority to create a database to facilitate stock trade audits.The Federal Trade Commission (FTC) is reportedly considering levying a $22.5 million fine on Google for bypassing a privacy setting on Apple's Safari web browser. [read post]
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]
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]
15 Jul 2021, 3:00 am
SEC Said Firm Didn’t Implement Proper Safeguards To Prevent Misappropriation The Securities and Exchange Commission (SEC) has fined Securities America Advisors $1.75M for allegedly not doing enough to protect customers from having their money stolen by a former registered representative who misappropriated $8M from at least 15 client accounts. [read post]
25 Jul 2010, 10:43 pm
The inspector general of the Securities and Exchange Commission is investigating whether political or other factors influenced the timing of the filing and subsequent settlement of the commission's securities fraud case against Goldman Sachs. [read post]
7 Jan 2010, 3:09 pm
Gail Henderson has posted the following abstract on SSRN: Investor groups in both Canada and the U.S. have petitioned the Ontario Securities Commission and the Securities and Exchange Commission to issue statements clarifying the application of existing disclosure requirements to... [read post]
9 Oct 2018, 5:19 am
Earlier this month, the Securities and Exchange Commission announced that it had reached a settlement with Ross Shapiro, a former managing director of Nomura Securities International, Inc. [read post]
8 Mar 2007, 4:16 pm
SEC press release: "The Securities and Exchange Commission this morning suspended trading in the securities of 35 companies that have... [read post]
