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6 Oct 2020, 8:55 pm
On 5 October 2020, the European Commission adopted an Implementing Regulation laying down implementing technical standards with regard to procedures and forms for the exchange of information and cooperation between competent authorities, the European Securities and Markets Authority (ESMA), the Commission and other entities under Articles 24(2) and 25 of the Market Abuse Regulation (MAR). [read post]
15 Feb 2022, 9:48 am
Securities and Exchange Commission). [read post]
29 Jan 2014, 2:32 pm
According to the Securities and Exchange Commission (SEC), MFP Flagship Fund 11 is an unregistered securities product organized in 2005 and sold throughout the US. [read post]
16 Jul 2019, 5:13 pm
Now lawyers for the Securities Exchange Commission say Musk violated a settlement agreement in that case by talking too much […] The post Elon Musk Accused of Violating Securities Fraud Settlement appeared first on Glancy Prongay & Murray LLP. [read post]
17 Dec 2021, 11:51 am
The SEC Hits Wedbush Securities with more than $1.2 Million for Supervisory Issues with Microcap Companies According to a press release, Wedbush Securities, a broker-dealer headquartered in Los Angeles, is paying more than $1.2 million to settle charges by the Securities and Exchange Commission for allegedly unlawfully distributing nearly 100 million unregistered shares of more than 50 different… [read post]
27 Feb 2019, 2:21 pm
Court of Appeals for the District of Columbia Circuit against the Securities Exchange Commission (“SEC”), seeking review of a controversial transaction fee pilot program, slated to take effect in April. [read post]
5 Feb 2016, 1:46 pm
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), among other regulators, regularly engage in investigations to explore, deter and punish market conduct that violates the securities laws and industry rules. [read post]
16 Oct 2009, 8:02 am
Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) issued a joint report on the issue of regulatory harmonization. [read post]
29 Dec 2013, 7:22 pm
NATIONAL PREPAREDNESS - HHS Is Monitoring the Progress of Its Medical Countermeasure Efforts but Has Not Provided Previously Recommended Spending Estimates, GAO-14-90, Dec 27, 2013 SOCIAL SECURITY DEATH DATA - Additional Action Needed to Address Data Errors and Federal Agency Access, GAO-14-46, Nov 27, 2013 FINANCIAL AUDIT - Securities and Exchange Commission’s Fiscal Years 2013 and 2012 Financial Statements [Reissued on December 23,… [read post]
20 Mar 2023, 8:50 am
Securities and Exchange Commission’s Office of Municipal Securities today announced that it updated its Registration of Municipal Advisors Frequently Asked Questions webpage to add a section, entitled Completion of Form MA, Form MA-I, and Form…Read the Full Press ReleaseHave a securities law question? [read post]
16 May 2023, 6:07 am
The Securities and Exchange Commission today announced charges against 10 microcap companies for offering and selling securities in unregistered offerings that failed to comply with Regulation A, which provides a limited exemption from registration under…Read the Full Press Release Have a securities law question? [read post]
24 Nov 2020, 8:51 am
The Securities and Exchange Commission today announced that it has voted to propose amendments to Securities Act Rule 701, which provides an exemption from registration for the issuance of compensatory securities by non-reporting issuers, and Form S-8,…Read the Full Press ReleaseHave a securities law question? [read post]
31 Oct 2019, 10:41 am
The Securities and Exchange Commission today charged XBT Corp. [read post]
3 Oct 2022, 4:35 am
The Securities and Exchange Commission today announced charges against Kim Kardashian for touting on social media a crypto asset security offered and sold by EthereumMax without disclosing the payment she received for the promotion. [read post]
22 Feb 2024, 2:05 pm
The Securities and Exchange Commission today adopted amendments to its ethics rules to strengthen and modernize its ethics compliance program. [read post]
2 Sep 2015, 6:28 am
Securities and Exchange Commission. [read post]
14 Jul 2009, 5:00 am
Although not a governmental body, the Exchange is supervised by the Iraq Securities Commission. [read post]
30 Jul 2024, 1:28 pm
A year later, the Securities Exchange Act of 1934, created the Securities and Exchange Commission (SEC), which is the federal governing body that implements securities fraud law and regulates stock markets. [read post]
28 Jul 2018, 9:16 am
In 2011, pursuant to authority granted under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission (SEC or Commission) adopted rules implementing the whistleblower provisions of Section 21F of the Securities Exchange Act of 1934 (the Whistleblower Program). [read post]
19 Apr 2010, 2:25 pm
White Collar Watch questions whether Goldman Sachs and the Securities and Exchange Commission ever discussed a settlement of the securities fraud case brought against the firm. [read post]
