Search for: "United States Securities and Exchange Commission"
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23 May 2013, 6:18 am
Securities and Exchange Commission (SEC) temporarily banned most short sales in nearly 1,000 financial stocks. [read post]
10 Jan 2013, 1:38 pm
Jan. 7, 2013), the United States Court of Appeals for the Second Circuit held that the “short-swing profits rule” imposed by Section 16(b) of the Securities Exchange Act of 1934, 15 U.S.C. [read post]
28 Sep 2017, 2:09 pm
Moreover, most states have enacted laws that allow state securities commissions to initiate investigations into securities fraud. [read post]
17 May 2022, 4:10 am
Securities and Exchange Commission, the Supreme Court held that SEC ALJs are “Officers of the United States” under the Appointments Clause of the U.S. [read post]
31 Jul 2012, 4:41 am
The United States Securities and Exchange Commission ("SEC") initiated a civil enforcement action against a Pennsylvania man for his role in funneling at least $30 million in investor funds into a $100 million foreign currency Ponzi scheme. [read post]
7 Feb 2012, 5:00 am
On October 26, 2011, the Securities and Exchange Commission (“SEC”) brought suit in Federal District Court against Rajat K. [read post]
12 Sep 2024, 12:15 am
United States Sec. [read post]
31 Mar 2019, 9:56 am
In 2015, the United Nations (UN) Member States adopted the 2030 Agenda for Sustainable Development. [read post]
19 Feb 2009, 2:16 pm
The Securities and Exchange Commission is charging Robert Allen Stanford and three of his companies for their alleged involvement in a multibillion dollar investment fraud scheme. [read post]
22 Jun 2018, 7:08 am
Securities and Exchange Commission, finding the SEC’s administrative law judges to be unconstitutionally appointed. [read post]
30 Oct 2017, 6:06 am
On September 29, 2017, the United States Securities and Exchange Commission (“SEC”) brought its first enforcement action arising from an Initial Coin Offering (“ICO”). [read post]
10 Oct 2017, 8:39 am
Investors in promissory notes of Credit Nation Capital, LLC (“CN Capital”) and affiliated companies may have viable legal claims based upon allegations in cases filed by the United States Securities and Exchange Commission (“SEC”). [read post]
12 Jan 2021, 6:29 am
On January 1st, 2021, Congress voted to amend the Securities and Exchange Act of 1934 (Exchange Act), enacting into law the following provisions: The Securities and Exchange Commission (SEC) now has statutory authority to seek disgorgement in civil enforcement actions in federal district court; The statute of limitations in certain SEC actions is now tolled while defendants are outside of the United States; and The statute of… [read post]
7 Sep 2021, 6:41 am
On August 20, 2021, the Securities and Exchange Commission (SEC) filed a complaint in United States District Court for the Northern District of Georgia (Atlanta) alleging that John Woods “has been running a massive Ponzi scheme for over a decade. [read post]
31 May 2012, 11:46 am
The American Bar Association is in strong favor of self-funding for both the Commodity Futures Trading Commission and the Securities and Exchange Commission. [read post]
9 Jul 2013, 7:05 am
Thomas Fisher, Kathleen Halloran, and George BehrensCase number: 07-cv-04483 (United States District Court for the Northern District of Illinois)Case filed:August 9, 2007Qualifying Judgment/Order: May 29, 2013 6/19/2013 9/17/2013 More notices are listed in my previous post. [read post]
2 Sep 2022, 6:30 am
Securities and Exchange Commission, on Sunday, August 28, 2022 Tags: Disclosure, Misconduct, SEC, SEC rulemaking, Securities regulation, Whistleblowers Statement by Chair Gensler on Final Amendments to the Whistleblower Program Posted by Gary Gensler, U.S. [read post]
25 Feb 2014, 10:02 am
The leaders of the Securities and Exchange Commission addressed the public on February 21-22 at the annual SEC Speaks conference in Washington, D.C. [read post]
17 Apr 2018, 12:00 am
Securities & Exchange Commission (“SEC”) that its principal executive offices were in the People’s Republic of China; however, in 2016, Wins reported in an SEC filing that its principal executive offices were in New York, NY. [read post]
27 Oct 2010, 10:23 am
Concomitantly, the Commission wants to know what remedies outside of the United States would be available to U.S. investors who purchase or sell shares on a foreign stock exchange if their securities fraud claims cannot be brought in U.S. courts. [read post]
