Search for: "In Re Securities and Exchange Commission"
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1 Mar 2023, 7:55 am
Jake: Let me first say that crypto is not regulated by the Securities Exchange Commission or the Commodities Futures Trading Commission like a stock or a commodity would be. [read post]
2 Sep 2022, 2:15 pm
Most are illiquid, and because they’re not traded on an exchange, you’ll have to hold them indefinitely. [read post]
15 Feb 2018, 1:41 pm
Securities and Exchange Commission (SEC) and the U.S. [read post]
26 Mar 2012, 5:00 am
My analysis of when fund managers need to register with the Securities and Exchange Commission has me focused on the composition of a company’s assets. [read post]
30 Oct 2017, 8:00 am
” The move opens the door for Congress to consider re-imposing nuclear-related sanctions. [read post]
30 Aug 2022, 5:01 am
On March 9, the Securities and Exchange Commission (SEC) proposed a new rule intended to enhance and standardize disclosure requirements for cybersecurity risks. [read post]
13 May 2024, 3:42 pm
Securities Securities Fraud Claim Duty to Disclose Pure Omissions Private Action Under Rule 10b–5(b) Section 10(b) of the Securities Exchange Act of 1934 Circuit Split Securities and Exchange Commission (SEC) Rule 10b–5(b) makes it unlawful to omit material facts in connection with buying or selling securities when that omission renders “statements… [read post]
26 Jan 2018, 5:50 am
The sanctions were based on findings that Vungarala willfully violated Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and FINRA Rules 2020 and 2010 by making materially false and misleading statements to conceal his commissions on investments made by a Native American tribe he was employed by to manage its investment portfolio. [read post]
14 May 2012, 12:59 pm
The Securities and Exchange Commission May 9 sued Deloitte Touche Tohmatsu’s Shanghai affiliate for allegedly “willfully” failing to provide documents to the agency regarding a client under SEC investigation (In re Deloitte Touche Tohmatsu CPA Ltd., SEC, Admin. [read post]
16 Nov 2018, 12:41 pm
(CRD #130116, Minnetonka, Minnesota)The firm was censured, fined $5,000, and required to submit a certification to FINRA that the firm has enhanced its supervisory system, including its WSPs, to ensure it obtains customer account information, in accordance with Securities and Exchange Commission (SEC) Rule 17a-3(a)(17). [read post]
9 Sep 2011, 11:42 am
The Securities and Exchange Commission Aug. 31 voted unanimously to issue a concept release soliciting public comments on issues raised by mutual funds, exchange-traded funds, and other investment companies’ use of derivatives. [read post]
18 Mar 2018, 9:00 am
The decline comes days after a senior official from the Securities and Exchange Commission acknowledged that the agency had "dozens" of open investigations into initial coin offerings. [read post]
7 Jun 2018, 5:32 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.FINRA Firms & Brokers, Fined & SanctionedMichael Bruce Ralby (CRD #1301072, Boca Raton, Florida) Without admitting or denying the findings, Ralby consented to the sanction and to the entry of findings that he refused to appear for a FINRA on-the-record testimony in connection with its investigation into whether he had… [read post]
1 Nov 2019, 3:05 am
Yesterday, ISS announced that it had filed this lawsuit against the SEC – which challenges the Commission-level guidance that was issued back in August. [read post]
21 Aug 2013, 6:52 pm
Required Content of Exchange Notice The Exchange Notice content mandated by FLSA Section 18B is fairly limited. [read post]
5 Nov 2015, 9:49 pm
Securities and Exchange Commission (SEC) released its final rule on crowdfunding—a largely online-based process of funding projects through numerous donors—that authorizes companies to use crowdfunding to issue securities, and broadens the group of eligible investors for these types of transactions. [read post]
13 Aug 2015, 6:27 am
They’re suffering illiquidity and ignorance, and earning much less than what they ought to be earning. [read post]
25 Apr 2008, 6:32 am
As reported in today’s Wall Street Journal, the MBA degree was listed in at least 19 Securities and Exchange Commission filings. [read post]
7 Dec 2009, 12:43 pm
The appellate court concluded that (1) short selling was squarely within the heartland of the securities business and (2) the Securities Exchange Commission not only had authority to regulate the role of the prime brokers in short selling and the borrowing fees charged by prime brokers under Sec. 10(a) of the Securities Exchange Act of 1934, but the agency exercised its authority to regulate the role of the prime brokers in short selling. [read post]
27 Nov 2009, 11:03 am
On Dec. 15, 2008, the Securities and Exchange Commission (SEC) charged National Lampoon CEO Daniel Laikin and others of engaging in fraudulent schemes to manipulate the market by generating purchases of company stock in exchange for pre-arranged cash kickbacks. [read post]
