Search for: "Securities and Exchange Commission"
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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]
8 May 2024, 7:52 am
Elsewhere, the Second Circuit affirmed the dismissal of Exchange Act claims against Coinbase due to insufficiently pleaded transaction-specific contracts. [read post]
24 Aug 2023, 5:47 am
Securities trading is highly-automated and dispersed among many trading centers including 24 registered exchanges and a myriad off-exchange venues, the Commission said.As of April 2022, 65 broker-dealers were exchange members, but not FINRA members, and 43 initiated orders that were executed on or off an exchange. [read post]
15 Aug 2009, 12:11 pm
On July 29, the House voted by voice to approve a bill that clears away any confusion regarding the Security and Exchange Commission's authority to go after individuals accused of violating federal securities laws while working for a self-regulatory organization (New York Stock Exchange, Financial Industry Regulatory Authority, etc.) even if they are now employed elsewhere. [read post]
2 Jun 2022, 7:35 am
Madison Avenue Securities Allegedly Failed to Disclose Conflicts with Compensation According to an SEC order on May 31, the Securities and Exchange Commission ordered Madison Avenue Securities (CRD#: 23224/SEC#: 801-69919,8-40426) to pay more than $800,000 to settle charges that it breached its fiduciary duty with its mutual fund share-class selection practices as well as conflicts with mutual fund compensation, including… [read post]
26 Mar 2010, 11:24 am
In Securities & Exchange Commission v. [read post]
7 Jul 2021, 8:13 am
(“Crown Capital”), a dually-registered investment adviser and broker-dealer based in California, agreed to pay $1.6 million to settle charges brought by the Securities and Exchange Commission (“SEC”) over the firm’s disclosure failures regarding investment advice it gave about mutual funds and cash sweep money market funds. [read post]
31 Oct 2017, 10:23 pm
(“ARCP”), Brian Block, was found guilty of securities fraud and related crimes in connection with reporting false numbers in quarterly filings with the Securities and Exchange Commission (“SEC”). [read post]
6 Jan 2025, 9:05 pm
Securities law often relies on stock exchanges and other self-regulatory organizations (SROs) to create rules that structure markets. [read post]
3 Dec 2024, 9:05 pm
Largely put in place by the Securities and Exchange Commission in 1982, the principles underlying the system have failed to keep pace with shifts in the market and dramatic changes in technology. [read post]
13 Feb 2017, 1:47 pm
District Court in Baltimore, alleges violations of the Securities Exchange Act and Securities and Exchange Commission ... [read post]
11 Feb 2010, 10:00 am
Securities and Exchange Commission (SEC) announced amendments to the proxy rules under the Securities Exchange Act of 1934 to require companies that have received TARP money to permit a shareholder advisory vote on executive compensation. [read post]
20 Jan 2023, 6:46 am
The Securities and Exchange Commission (SEC) Thursday charged Nexo Capital Inc. with failing to register a security that allowed consumers to earn interest on cryptocurrency. [read post]
15 Mar 2007, 10:46 am
Related Web Resources: SEC Obtains Order Freezing $3 Million in Proceeds of Suspected Foreign-Based Account Intrusion Scheme, SEC.gov, March 7, 2007 Securities and Exchange Commission v. [read post]
25 Feb 2012, 6:32 am
In a significant case for legal and compliance professionals at securities firms, the Securities and Exchange Commission (the “Commission”) recently dismissed enforcement proceedings against Theodore W. [read post]
21 Aug 2014, 6:06 am
Securities and Exchange Commission. [read post]
16 Sep 2011, 5:00 am
Securities & Exchange Commission, 2011 U.S. [read post]
14 Feb 2012, 11:51 am
On February 14, 2012, the Securities and Exchange Commission (SEC) filed a complaint against Brenda Esbach of Tustin, California charging her with numerous securities fraud violations. [read post]
5 Nov 2019, 11:35 am
Securities and Exchange Commission. [read post]
15 Jun 2016, 6:10 am
Securities and Exchange Commission. [read post]
