Search for: "Securities and Exchange Commission"
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5 Jun 2009, 6:58 am
Here is the abstract: The Securities and Exchange Commission ("SEC") can investigate and discipline attorneys for "unethical or... [read post]
21 Nov 2010, 3:29 am
Here is the abstract: The Securities and Exchange Commission’s (“SEC”) conspicuous failures during the financial crisis of 2008 have... [read post]
20 Nov 2009, 3:12 pm
Securities and Exchange Commission, Before the House Committee on Financial Services, October 7, 2009. [read post]
4 Mar 2011, 7:16 am
Securities and Exchange Commission, before the United States Senate Committee on Agriculture, Nutrition and Forestry on... [read post]
8 Apr 2014, 1:31 pm
Larissa Lee has posted The Ban Has Lifted: Now is the Time to Change the Accredited-Investor Standard on SSRN with the following abstract: On July 10, 2013, the United States Securities and Exchange Commission lifted an eighty-year ban on general... [read post]
15 Nov 2013, 10:57 am
Fein has posted Meddling in Money Market Funds on SSRN with the following abstract: This paper questions why twelve Federal Reserve Bank presidents have interposed themselves in a rulemaking by the Securities and Exchange Commission concerning money market... [read post]
25 Mar 2014, 4:34 pm
David De Angelis and Yaniv Grinstein have posted Performance Terms in CEO Compensation Contracts on SSRN with the following abstract: In December 2006, the Securities and Exchange Commission issued new rules that require enhanced disclosure on how firms tie CEO... [read post]
8 Apr 2014, 1:28 pm
Larissa Lee has posted Admission of Guilt: Sinking Teeth into the SEC's Sweetheart Deals on SSRN with the following abstract: Throughout its existence, the Securities and Exchange Commission (SEC) has allowed defendants to settle cases without admitting to the allegations... [read post]
3 Oct 2022, 4:35 am
The Securities and Exchange Commission today announced charges against Kim Kardashian for touting on social media a crypto asset security offered and sold by EthereumMax without disclosing the payment she received for the promotion. [read post]
20 Mar 2023, 8:50 am
Securities and Exchange Commission’s Office of Municipal Securities today announced that it updated its Registration of Municipal Advisors Frequently Asked Questions webpage to add a section, entitled Completion of Form MA, Form MA-I, and Form…Read the Full Press ReleaseHave a securities law question? [read post]
16 May 2023, 6:07 am
The Securities and Exchange Commission today announced charges against 10 microcap companies for offering and selling securities in unregistered offerings that failed to comply with Regulation A, which provides a limited exemption from registration under…Read the Full Press Release Have a securities law question? [read post]
22 Feb 2024, 2:05 pm
The Securities and Exchange Commission today adopted amendments to its ethics rules to strengthen and modernize its ethics compliance program. [read post]
27 Feb 2019, 2:21 pm
Court of Appeals for the District of Columbia Circuit against the Securities Exchange Commission (“SEC”), seeking review of a controversial transaction fee pilot program, slated to take effect in April. [read post]
30 Jul 2024, 1:28 pm
A year later, the Securities Exchange Act of 1934, created the Securities and Exchange Commission (SEC), which is the federal governing body that implements securities fraud law and regulates stock markets. [read post]
24 Sep 2010, 5:54 pm
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]
5 Feb 2016, 1:46 pm
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), among other regulators, regularly engage in investigations to explore, deter and punish market conduct that violates the securities laws and industry rules. [read post]
17 Dec 2021, 11:51 am
The SEC Hits Wedbush Securities with more than $1.2 Million for Supervisory Issues with Microcap Companies According to a press release, Wedbush Securities, a broker-dealer headquartered in Los Angeles, is paying more than $1.2 million to settle charges by the Securities and Exchange Commission for allegedly unlawfully distributing nearly 100 million unregistered shares of more than 50 different… [read post]
12 Oct 2010, 5:02 am
Public companies and companies registering to go public should be aware of recent fee rate adjustments made by the Securities and Exchange Commission. [read post]
16 Jul 2019, 5:13 pm
Now lawyers for the Securities Exchange Commission say Musk violated a settlement agreement in that case by talking too much […] The post Elon Musk Accused of Violating Securities Fraud Settlement appeared first on Glancy Prongay & Murray LLP. [read post]
29 Dec 2013, 7:22 pm
NATIONAL PREPAREDNESS - HHS Is Monitoring the Progress of Its Medical Countermeasure Efforts but Has Not Provided Previously Recommended Spending Estimates, GAO-14-90, Dec 27, 2013 SOCIAL SECURITY DEATH DATA - Additional Action Needed to Address Data Errors and Federal Agency Access, GAO-14-46, Nov 27, 2013 FINANCIAL AUDIT - Securities and Exchange Commission’s Fiscal Years 2013 and 2012 Financial Statements [Reissued on December 23,… [read post]
