Search for: "Securities and Exchange Commission"
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1 Oct 2017, 9:08 pm
Shiu-Yik Au has posted The Effectiveness of SEC Enforcement in Deterring Financial Misconduct on SSRN with the following abstract: This paper examines how the Securities and Exchange Commission’s (SEC) enforcement actions and whom they target deter future financial misconduct. [read post]
18 Jun 2010, 3:29 pm
Goldman Sachs has reportedly asked for more time to respond to the Securities and Exchange Commission's civil charges accusing it of securities fraud. [read post]
16 Apr 2010, 2:41 pm
Goldman Sachs and the Securities and Exchange Commission are playing for high stakes if the S.E.C.'s securities fraud case against the firm goes to trial. [read post]
19 Apr 2010, 12:55 pm
The Securities and Exchange Commission's decision to sue Goldman Sachs for securities fraud was split 3-2 along party lines, according to Bloomberg News. [read post]
16 Jul 2010, 8:25 am
White Collar Watch and the Deal Professor examine what Goldman Sachs and the Securities and Exchange Commission achieved by settling the S.E.C.'s securities fraud case. [read post]
19 Apr 2010, 2:25 pm
White Collar Watch questions whether Goldman Sachs and the Securities and Exchange Commission ever discussed a settlement of the securities fraud case brought against the firm. [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]
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]
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]
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]
23 Feb 2010, 10:28 pm
Securities and Exchange Commission SEC Toyota’s product defect issues involving accelerator pedal recalls have generated over 60 lawsuits. [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]
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]
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]
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]
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]
24 Apr 2015, 4:09 pm
On April 14, 2015, in a speech to the North American Securities Administrators Association (“NASAA”), Luis Aguilar, Commissioner to the Securities and Exchange Commission (“SEC”), stated that the SEC is looking closer at sales practices with respect complex securities. [read post]
2 Sep 2015, 6:28 am
Securities and Exchange Commission. [read post]
7 Feb 2018, 5:00 am
Title VII of the Dodd-Frank Act expanded the Exchange Act definition of “security” to include security-based swaps. [read post]
