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Statement by Chair Gensler on Registration of Security-Based Swap Execution Facilities
7 Apr 2022, 6:10 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
NASAA and the SEC: Presenting a United Front to Protect Investors
20 Apr 2014, 6:00 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
The Need for Robust SEC Oversight of SROs
9 May 2013, 6:27 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Wedbush Securities To Pay $250K Over Inadequate Supervision of Ex-Broker Accused of Fraud
15 Mar 2019, 7:29 am by ccollins
According to the US Securities and Exchange Commission (SEC), Wedbush Securities has settled allegations accusing the brokerage firm of failing to supervise one of its former registered representatives, Timary Delorme, who is accused of engaging in a pump-and-dump fraud that harmed retail investors. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
SEC Charges Ross Shapiro, Michael Gramins, and Tyler Peters with Residential Mortgage Backed Securities Fraud
15 Sep 2015, 6:07 am by Lax & Neville LLP
On September 8, 2015, the Securities and Exchange Commission (“SEC”) charged Ross Shapiro, Michael Gramins, and Tyler Peters with violating Section 10(b) of the Securities and Exchange Act of 1934, and Rule 10b-5 and Sections 17(a) of the Securities Act of 1933. [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
SEC Commissioner, Law Professor Wrongfully Accuse SRP of Securities Fraud
15 Dec 2014, 1:17 pm by Jonathan R. Macey, Yale Law School,
” would be inconsistent with the law and, by the authors’ own admission, inconsistent with the current policy and practice of the staff of the Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Making the Municipal Securities Market More Transparent, Liquid, and Fair
22 Feb 2015, 6:00 am by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
GAO – SEC: Actions Needed to Address Limited Progress in Resolving Long-Standing Personnel Management Challenges
1 Jan 2017, 4:37 pm by Sabrina I. Pacifici
“Employee views on the Securities and Exchange Commission’s (SEC) organizational culture have generally improved since 2013. [read post]
beSpacific - http://www.bespacific.com/
Remarks by Chair Gensler Before the American Bar Association
8 Dec 2023, 6:31 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Remarks by Chair Gensler Before the American Bar Association
8 Dec 2023, 6:31 am
Securities and Exchange Commission. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
SEC charges former NASDAQ chariman with securities fraud
12 Dec 2008, 8:21 am
The US Securities and Exchange Commission (SEC) [official website] charged [SEC press release] Madoff and his investment firm, Bernard L. [read post]
JURIST - Paper Chase - http://jurist.law.pitt.edu/paperchase/index.php
SEC Amends Whistleblower Rules to Incentivize Whistleblower Tips
26 Aug 2022, 11:05 am by Mark Astarita
The Securities and Exchange Commission today adopted two amendments to the rules governing its whistleblower program. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Reopens Comment Period for Proposed Rule on Recovery of Erroneously Awarded Compensation
8 Jun 2022, 2:40 pm by Mark Astarita
The Securities and Exchange Commission today reopened the comment period on proposed rules for listing standards for recovery of erroneously awarded compensation, and staff of the Commission released a memo that contains additional analyses and data that…Read the Full Press ReleaseHave a securities law question? [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
20 Jan 2023, 9:15 am by Mark Astarita
The Securities and Exchange Commission is seeking candidates for appointment to the Small Business Capital Formation Advisory Committee to provide advice and recommendations on Commission rules, regulations, and policy matters relating to small…Read the Full Press ReleaseHave a securities law question? [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
26 Jul 2023, 10:16 am by Mark Astarita
The Securities and Exchange Commission today proposed amendments to the rule permitting certain investment advisers that provide investment advisory services through the internet to register with the Commission. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
NYSE Commission Announces Core Corporate Governance Principles
24 Sep 2010, 5:54 pm by Business Law Post
On Thursday, September 23rd, the New York Stock Exchange-sponsored commission on corporate governance issued a report that contained 10 core corporate governance principles. [read post]
Business Law Post - http://www.businesslawpost.blogspot.com/
SEC Chair on PCAOB Oversight and 2016 Budget Approval
22 Mar 2016, 6:19 am
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Bipartisan Group of Former SEC Officials and Securities Experts Confirms Longstanding SEC Authority on Climate Disclosure
16 Jun 2022, 9:05 pm by Working Group on Securities Disclosure Authority
Securities and Exchange Commission on June 16, 2022. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Expands Investor Classes for Unregistered Securities Transactions
28 Aug 2020, 12:48 pm by Liskow & Lewis
Securities and Exchange Commission adopted final rules that amend the definitions of “accredited investor” and “qualified institutional buyer” which are central to classifying investors that may participate in private offerings and investments under federal securities laws. [read post]
The Energy Law Blog - http://www.theenergylawblog.com/
SEC Letter to China-Based Issuers Reflects America’s “Rule” of Isolationist Policies
15 Feb 2022, 9:48 am by Race to the Bottom
Securities and Exchange Commission). [read post]
The Race to the Bottom - https://www.theracetothebottom.org/rttb