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14 Mar 2012, 6:28 am
The Staff permitted six companies to exclude precatory proposals that were based on a model prepared by a coalition of shareholders called the “United States Proxy Exchange. [read post]
22 Nov 2011, 7:50 pm
The Securities and Exchange Commission (the "Commission") charged a Canadian resident and his New Hampshire business with operating a fraudulent Ponzi scheme that took in over $1 million from investors. [read post]
23 Apr 2013, 6:28 am
Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award. [read post]
7 Jan 2020, 9:33 am
” James Booth Also Facing Criminal Charges In September 2019, the United States Attorney for the Southern District of New York unsealed an indictment charging Booth with securities fraud, wire fraud, and investment adviser fraud in connection with his scheme. [read post]
20 Dec 2018, 10:04 am
The Securities and Exchange Commission (SEC) announced on September 24, 2018 that it has awarded nearly $4 million to an overseas whistleblower. [read post]
5 Jun 2008, 8:21 pm
As a result, the Commission has proposed and is soliciting comments to various amendments with the aim of extending a greater number of offers into the United States. [read post]
27 Jun 2018, 9:13 am
Then the paper reviews the current United States Harmonized Tariff Schedule and recent developments in United States tariff policies. [read post]
SEC Proposes Rules Relating to Investment Adviser Registration Exemptions and Reporting Requirements
16 Dec 2010, 8:55 am
On November 19, 2010, the Securities and Exchange Commission ("SEC") proposed new rules under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), as required by Sections 403, 407, 408 and 410 of the "Dodd-Frank Wall Street Reform and Consumer Protection Act" ("Dodd-Frank"). [read post]
28 Nov 2011, 2:18 pm
Paredes, of the United States Securities and Exchange Commission. [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]
15 May 2023, 3:55 am
JOIN TODAY -- FREE MEMBERSHIP 2Cir affirms SDNY Judgment against Elon MuskSecurities and Exchange Commission, Plaintiff/Appellee, v. [read post]
15 Apr 2010, 6:09 am
Supreme Court heard arguments on whether U.S. courts have jurisdiction over cases involving international investors purchasing securities traded on exchanges outside the United States. [read post]
25 Dec 2009, 7:36 am
King, 63, has been charged by the Securities and Exchange Commission (SEC) with taking bribes to ignore wrong doing in relation to the alleged Ponzi scheme. [read post]
11 Jul 2017, 6:00 am
On June 5, 2017, the Securities and Exchange Commission (“SEC”) filed a complaint in the United States District Court for the Southern District of New York against Alpine Securities Corporation (“Alpine”), a Salt Lake City-based broker-dealer. [read post]
26 Sep 2013, 10:52 am
In June 2013, the Federal Trade Commission (FTC) and Ireland's Office of the Data Protection Commissioner signed a memorandum of understanding establishing a mutual assistance and information exchange program to secure compliance with data protection and privacy laws on both sides of the Atlantic. [read post]
24 Feb 2015, 5:04 pm
Securities and Exchange Commission leadership and staff members addressed the public on February 20-21 at the annual “SEC Speaks” conference in Washington, D.C. [read post]
8 Apr 2021, 10:18 am
On April 5, 2021, the United States Securities and Exchange Commission (SEC) filed a Complaint against Zachary Horwitz and 1inMM Capital arising from an alleged “offering fraud and Ponzi scheme in violation of federal securities laws. [read post]
13 Feb 2010, 8:00 am
Citing United States v. [read post]
18 Apr 2012, 8:26 am
The Securities and Exchange Commission ("SEC") has obtained a temporary restraining order and order freezing the assets of Shervin Neman ("Neman") and the entities he controls, including Neman Financial L.P. [read post]
26 Jul 2016, 4:45 am
Thus, because they sold unregistered securities through the United States mail or interstate commerce these defendants were liable unless they could prove an exemption. [read post]
