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1 Oct 2019, 11:20 am
On August 20, 2019, the Securities and Exchange Commission (“SEC”) charged Mosaic Capital, LLC, formerly known as AOC Securities, LLC (“AOC”), and its CEO with failing to adequately supervise an employee who engaged in securities fraud. [read post]
15 Sep 2022, 6:30 am
On September 14, 2022, Western International Securities, Inc. filed its Answer to the Securities and Exchange Commission’s Complaint denying that the firm violated the standards under Regulation Best Interest (“Reg BI”) in approving, recommending, and supervising the sale of speculative, high-risk, and illiquid L Bonds issued by GWG Holdings, Inc. [read post]
9 Dec 2011, 6:47 pm
In Parts One and Two of this article we discussed the new Guidance issued by the Securities and Exchange Commission (SEC) Division of Corporation Finance that provides guidance to companies with regard to whether and how a company should disclose the impact of the risk and cost of cybersecurity incidents (both malicious and accidental) on a company. [read post]
1 Feb 2020, 6:30 am
Two logistical points: We have edited this podcast down to the most substantive exchanges between Bobby and Steve. [read post]
7 Jun 2023, 9:01 pm
Securities and Exchange Commission. [read post]
1 Nov 2024, 7:23 am
In 2020, the SEC (under Chairman Jay Clayton) proposed to eliminate a long-standing rule that exempts from the national securities exchange and ATS regulatory frameworks those platforms that facilitate trading in only Treasuries and other U.S. government securities (“government securities-only trading platforms”)—i.e., to subject those platforms to exchange/ATS regulation for the first time.[2] In early 2022, the… [read post]
10 Aug 2007, 3:47 am
Campos, a member of the Securities and Exchange Commission who sparred with agency Republicans over how best to penalize companies for securities law violations, will depart in a month for the private sector, the commission said Thursday. [read post]
14 Oct 2023, 6:30 am
Securities and Exchange Commission. [read post]
14 Oct 2023, 6:30 am
Securities and Exchange Commission. [read post]
17 Feb 2009, 2:47 pm
News release: "he Securities and Exchange Commission today charged Robert Allen Stanford and three of his companies for orchestrating a... [read post]
17 Jun 2010, 6:03 am
Inphi Corporation, the semiconductor provider, has filed with the Securities and Exchange Commission for an initial public offering, the company announced Thursday. [read post]
10 Jun 2011, 3:38 pm
The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) continue to warn that the so-called [read post]
2 Sep 2011, 6:03 am
The Securities and Exchange Commission is likely to investigate an e-mail that the company's chief executive, Andrew Mason, sent to employees. [read post]
28 Jan 2019, 11:42 am
While many spent the final days of 2018 taking a much-needed break, the Securities and Exchange Commission (SEC) was busy […] [read post]
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. [read post]
30 Jul 2012, 9:39 am
Two recent cases filed by the Securities and Exchange Commission show how malleable the term "insider trading" can be. [read post]
21 May 2011, 10:12 pm
Fact Sheet: "The Securities and Exchange Commission [May 18, 2011] voted unanimously to propose new rules and amendments intended to... [read post]
6 Sep 2011, 5:44 pm
The court ruling dealt a stinging blow to the Securities and Exchange Commission and it has exposed the Dodd-Frank Act to multiple other challenges [read post]
14 Jul 2010, 8:14 am
The Securities and Exchange Commission plans to vote on Wednesday whether to seek public comment on the accuracy of proxy voting in the United States. [read post]
2 Nov 2011, 10:09 pm
Report of Investigation, United States Securities and Exchange Commission, Office of Inspector General. [read post]
