Search for: "Securities and Exchange Commission"
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16 Apr 2010, 11:09 am
In late January, 2010, by a 3 to 2 vote of the Commissioners, the Securities and Exchange Commission (SEC) adopted an interpretive release regarding reporting public company disclosure requirements arising from business or legal developments related to climate change. [read post]
23 Jan 2011, 6:46 am
The Securities Exchange Commission in cooperation with the North American Securities Administrators Association (NASAA) have issued warnings to investors about the risks of peer-to-peer lending via the Web. [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]
22 Apr 2025, 2:25 pm
The Securities and Exchange Commission today charged Ramil Palafox for orchestrating a fraudulent scheme that raised approximately $198 million from investors worldwide and for misappropriating more than $57 million of investor funds. [read post]
14 Aug 2024, 2:11 pm
SEC Reportedly Charges Lifemark and Geoffrey Wolterstorff with Unsuitable Investments The Securities and Exchange Commission (SEC) announced on July 29, 2024 that it has reportedly settled charges against New York-based dually-registered broker-dealer and investment adviser, LifeMark Securities Corporation, and its registered representative, Geoffrey Wolterstorff. [read post]
12 Sep 2021, 3:58 am
-China Economic and Security Review Commission was created by the United States Congress in October 2000 with the legislative mandate to monitor, investigate, and submit to Congress an annual report on the national security implications of the bilateral trade and economic relationship between the United States and the People’s Republic of China, and to provide recommendations, where appropriate, to Congress for legislative and administrative action. [read post]
5 Jan 2023, 3:15 am
” In fact, a looming enforcement sweep tops his list of 12 crypto predictions for 2023: An Enforcement sweep carried out by the U.S. securities and Exchange Commission (SEC) of crypto-intermediaries is clearly coming in 2023. [read post]
27 Sep 2007, 5:06 am
The Securities and Exchange Commission has opened an investigation into whether the credit-rating agencies improperly inflated their ratings of mortgage-backed securities because of possible conflicts of interest, the head of the commission told Congress on Wednesday. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
1 Mar 2023, 10:00 pm
In an article for The Review of Securities & Commodities Regulation, partner Lance Dial and associates Amy McDonald and Jonathan Nowakowski discuss the US Securities and Exchange Commission’s (SEC’s) newly adopted requirements for mutual fund shareholder reports. [read post]
13 Oct 2023, 12:44 pm
AMG Capital Management struck down the Federal Trade Commission’s authority to obtain equitable monetary relief under Section 13(b). [read post]
21 Mar 2018, 5:00 am
Securities fraud plea ends controversial CEO’s tenureLast week, the Securities and Exchange Commission announced a $700 million securities fraud settlement against Theranos CEO Elizabeth Holmes. [read post]
9 Aug 2007, 2:16 pm
According to the Securities and Exchange Commission rules, a public company is required to have an auditor review of quarterly financial statements prior to filing a 10-Q: SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 210, 228, 229, and 240 [Release No. 34-42266; File No. [read post]
1 Aug 2012, 8:52 am
In May 2010, the Commission adopted amendments to Exchange Act Rule 15c2-12 that were aimed at improving the quality and timeliness of municipal securities disclosure. [read post]
10 Apr 2014, 9:18 am
On March 10, 2014, the Securities and Exchange Commission (“SEC”) announced that issuers and underwriters of municipal securities may voluntarily report materially inaccurate statements made in offering documents regarding prior continuing disclosure compliance through a program called the Municipalities Continuing Disclosure Cooperation Initiative (the “MCDC Initiative”). [read post]
30 Sep 2024, 1:29 pm
Securities and Exchange Commission (SEC) reportedly filed a lawsuit against a California-based financial advisor, Robert Vance. [read post]
