Search for: "US Securities and Exchange Commission"
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1 May 2009, 9:14 pm
The US Court of Appeals for the Fifth Circuit is affirming the Securities Exchange Commission's enforcement action against Southwest Securities broker Scott Gann who is accused of engaging in market timing activities that violated certain funds' restrictions. [read post]
14 Aug 2018, 1:32 pm
Earlier this year, the US Securities and Exchange Commission barred ex-RBC broker Thomas Buck from the industry. [read post]
4 May 2010, 10:08 pm
Slovak has agreed to pay $25,000 to resolve Securities and Exchange Commission charges that she committed Texas securities fraud. [read post]
6 Aug 2022, 6:30 am
On June 23, 2022, the Securities and Exchange Commission (SEC) adopted certain amendments to Form 13F (the Adopting Release) that will become effective at the beginning of 2023. [read post]
6 Aug 2022, 6:30 am
On June 23, 2022, the Securities and Exchange Commission (SEC) adopted certain amendments to Form 13F (the Adopting Release) that will become effective at the beginning of 2023. [read post]
26 Nov 2021, 1:24 pm
The Securities and Exchange Commission today voted to adopt final rules requiring parties in a contested election to use universal proxy cards that include all director nominees presented for election at a shareholder meeting. [read post]
15 Jun 2012, 2:31 pm
The US Securities and Exchange Commission [official website] conducted an investigation and alleged that... [read post]
6 Aug 2021, 6:09 am
The Securities and Exchange Commission today charged two Florida men and their Cayman Islands company for unregistered sales of more than $30 million of securities using smart contracts and so-called “decentralized finance” (DeFi) technology, and for…Read the Full Press ReleaseHave a securities law question? [read post]
16 Dec 2015, 6:01 am
Securities and Exchange Commission. [read post]
19 Mar 2024, 12:49 pm
The Securities and Exchange Commission announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injunction to settle charges that it engaged in the unregistered offer and sale of securities through a crypto asset lending program known as the Gemini Earn program. [read post]
18 May 2009, 9:16 am
The SEC (Securities and Exchange Commission) has censured Royal Alliance Associates, Inc. and fined it $500,000 due to its failure to supervise one of its former advisers, David McMillan. [read post]
27 Apr 2017, 6:22 am
On March 10, 2017, the US Securities and Exchange Commission (SEC) issued an order (the BZX Order) disapproving a rule change that Bats BZX Exchange (BZX) had proposed to list and trade shares issued by the Winklevoss Bitcoin Trust. [read post]
17 Aug 2018, 8:22 am
An issuer of purported secured notes backed by real estate has been sued by the Securities and Exchange Commission alleging that amid losses, it “devolved into a Ponzi scheme. [read post]
13 May 2008, 10:29 am
Wayne Carnall, Chief Accountant in the Securities and Exchange Commission of Corporation Finance confirmed May 1 what we all have suspected. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
12 Apr 2022, 10:00 pm
The US Securities and Exchange Commission proposed rules on March 28 that would require certain market participants to register as broker-dealers or government securities dealers, and potentially be subject to oversight by self-regulatory organizations such as the Financial Industry Regulatory Authority Inc. [read post]
