Search for: "US Securities and Exchange Commission"
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30 Oct 2020, 8:38 am
According to the Commission, the conditions are intended to: (1) protect money, securities, and property of security-based swap customers; (2) address certain differences in the statutory requirements of the Exchange Act and the CEA; and (3) promote appropriate risk management and disclosure.After the 2012 order, the SEC has monitored the BD/FCMs participating in the portfolio margining program and the overall market for cleared credit default swaps. [read post]
25 Mar 2024, 2:51 pm
Securities and Exchange Commission is seeking fines and penalties totaling $2 billion in its case against Ripple Labs over sales of the cryptocurrency XRP, the company’s chief legal officer said in a social media post. [read post]
8 Jul 2009, 7:36 am
SNSFE attorneys are investigating Provident Royalties, LLC after the Securities and Exchange Commission obtained an emergency asset freeze. [read post]
3 Oct 2019, 1:13 pm
The Security and Exchange Commission filed a complaint alleges that Mark Ray, a Denver resident, was the mastermind of a scheme for the purported purchase and immediate resale of large numbers of cattle. [read post]
4 Mar 2010, 11:23 am
Today, the Securities and Exchange Commission (SEC) filed a securities fraud lawsuit against Sean David Morton of Manhattan Beach, California, alleging that Morton falsely claimed he would use his psychic expertise to provide investment guidance. [read post]
31 Jul 2024, 10:00 pm
Department of Commerce has raised questions regarding the future of financial services regulation, including by the US Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), and the US Department of Labor (DOL). [read post]
31 Jul 2024, 10:00 pm
Department of Commerce has raised questions regarding the future of financial services regulation, including by the US Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), and the US Department of Labor (DOL). [read post]
31 Jul 2024, 10:00 pm
Department of Commerce has raised questions regarding the future of financial services regulation, including by the US Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), and the US Department of Labor (DOL). [read post]
31 Jul 2024, 10:00 pm
Department of Commerce has raised questions regarding the future of financial services regulation, including by the US Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), and the US Department of Labor (DOL). [read post]
31 Jul 2024, 10:00 pm
Department of Commerce has raised questions regarding the future of financial services regulation, including by the US Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), and the US Department of Labor (DOL). [read post]
31 Jul 2024, 10:00 pm
Department of Commerce has raised questions regarding the future of financial services regulation, including by the US Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), and the US Department of Labor (DOL). [read post]
31 Aug 2016, 10:13 am
The Securities and Exchange Commission today announced that in fiscal year 2017 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $115.90 per million dollars.The securities laws require the Commission to make annual adjustments to the rates for fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities… [read post]
24 Aug 2017, 1:35 pm
The Securities and Exchange Commission today announced that in fiscal year 2018 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $124.50 per million dollars.The securities laws require the Commission to make annual adjustments to the rates for fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities… [read post]
25 Nov 2011, 6:45 am
Securities and Exchange Commission. [read post]
3 May 2022, 8:57 am
Recently, the DOJ and the US Securities and Exchange Commission (SEC) announced that their parallel investigations of a transnational medical waste services company had ended, with the company set to pay over US$84 million to the agencies for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a multi-jurisdictional bribery scheme. [read post]
31 Jan 2023, 10:14 am
On January 30, 2023, the United States Securities and Exchange Commission (“SEC”) published a Risk Alert including its observations from Broker-Dealer Examinations Related to Regulation Best Interest (“Reg BI”). [read post]
17 Apr 2006, 8:12 am
[corporate website; JURIST news archive] has agreed to pay the US Securities and Exchange Commission [official website] a $50 million civil penalty [Tyco press release] and a $1 disgorgement fee for fraudulent accounting procedures used between 1996 through 2002, Tyco and SEC officials announced Monday. [read post]
4 Sep 2018, 6:52 am
The US Securities and Exchange Commission has filed fraud charges against 1 Global Capital LLC, a Florida-based cash advance company, and its ex-CEO Carl Ruderman. [read post]
14 Oct 2019, 1:11 pm
On October 11, 2019, the Financial Crimes Enforcement Network (FinCEN), the US anti-money laundering (AML) agency, along with the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) (collectively, the “Agencies”) issued a joint statement on digital assets activities (“Statement”), reminding the businesses under their jurisdictions that digital assets activities may be subject to AML… [read post]
26 Jun 2018, 6:46 am
In a completely unsurprising statement, a high-ranking official at the Securities and Exchange Commission said that Bitcoins are not securities. [read post]
