Search for: "Securities and Exchange Commission"
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15 Aug 2012, 10:13 am
Under Section 20(e), the Second Circuit held, the Securities and Exchange Commission (“SEC”) need not show that an aider and abettor “proximately caused” the harm on which the primary violation was predicated. [read post]
9 Feb 2012, 12:45 pm
Commodity Futures Trading Commission and the Securities Exchange Commission released a joint report on how swaps and security-based swaps are regulated internationally. [read post]
5 Aug 2010, 10:38 pm
Securities and Exchange Commission, served as an USAID consultant to the [read post]
7 Oct 2010, 11:14 am
Today, the Securities and Exchange Commission (SEC) filed a securities fraud lawsuit against Barbara Alexander, a syndicated radio talk show host based in Monterey, California, who hosted a show for entrepreneurs called MoneyDots. [read post]
6 Mar 2019, 5:00 am
In an Investor Alert, the Financial Industry Regulatory Authority and the US Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) sought to inform investors about the risks involved in securities-backed lines of credit (SBLOCs). [read post]
15 Dec 2021, 10:40 am
The Securities and Exchange Commission today voted to propose rules to prevent fraud, manipulation and deception in connection with security-based swaps, to prevent undue influence over the chief compliance officer (CCO) of security-based swap dealers…Read the Full Press ReleaseHave a securities law question? [read post]
7 Dec 2018, 1:29 pm
The following are some of the more common closing costs allowable in a Sec. 1031 like kind exchange: Broker’s commissions; Real estate agent commissions; Title transfer taxes; 1031 exchange facilitator fee; Owner’s policy title insurance fees; Escrow fees; Attorney’s fees; and Title recording fees. [read post]
17 May 2022, 10:26 am
It’s not unusual for financial advisors to pitch certain stocks that don’t have to follow the strict disclosure rules laid down by the Securities and Exchange Commission (SEC) and FINRA, the regulator of the US securities industry. [read post]
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934 (Exchange Act) to enhance the existing regulatory framework around best execution for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers (collectively, Broker-Dealers). [read post]
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934 (Exchange Act) to enhance the existing regulatory framework around best execution for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers (collectively, Broker-Dealers). [read post]
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934 (Exchange Act) to enhance the existing regulatory framework around best execution for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers (collectively, Broker-Dealers). [read post]
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934 (Exchange Act) to enhance the existing regulatory framework around best execution for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers (collectively, Broker-Dealers). [read post]
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934 (Exchange Act) to enhance the existing regulatory framework around best execution for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers (collectively, Broker-Dealers). [read post]
16 Jan 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) proposed Regulation Best Execution (Proposal or Proposed Regulation Best Execution) under the Securities and Exchange Act of 1934 (Exchange Act) to enhance the existing regulatory framework around best execution for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers (collectively, Broker-Dealers). [read post]
7 Jun 2023, 6:47 am
Since at least 2019, the Commission says, Coinbase has made billions by facilitating the buying and selling of crypto asset securities. [read post]
6 Jun 2008, 6:33 pm
Overstock.com (NASDAQ:OSTK) announced today that the Salt Lake City office of the SEC notified them that it is not recommending any enforcement action against the company. [read post]
21 Mar 2015, 5:54 pm
Securities and Exchange Commission. [read post]
15 Jul 2012, 10:19 pm
Securities Audit Trail: The Securities and Exchange Commission (SEC) approved a final rule under the Securities Exchange Act of 1934 to require national securities exchanges and associations to submit a national market system plan to create, implement, and maintain a consolidated audit trail for securities to capture customer and order event information across all markets, from the time of order inception through… [read post]
16 May 2022, 11:49 am
Investigating Potential Securities Claims involving ACP X LLP According to an SEC administrative order on March 22, 2022, The Securities and Exchange Commission announced charges against an accounting and auditing firm involving allegedly improper professional conduct in their 2015 and 2016 audits of $17 million private equity fund ACP X, LLP. [read post]
6 Oct 2009, 5:18 am
A recently filed lawsuit claims advisers with Securities America chose to ignore obvious red flags in an effort to sell hundreds of millions of dollars' worth of securities notes in Medical Capital Holdings, a California medical receivables company that now faces securities fraud charges from the Securities and Exchange Commission (SEC). [read post]
