Search for: "Security and Exchange Commission"
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16 Apr 2010, 2:41 pm
Goldman Sachs and the Securities and Exchange Commission are playing for high stakes if the S.E.C.'s securities fraud case against the firm goes to trial. [read post]
16 Jul 2010, 8:25 am
White Collar Watch and the Deal Professor examine what Goldman Sachs and the Securities and Exchange Commission achieved by settling the S.E.C.'s securities fraud case. [read post]
19 Apr 2010, 12:55 pm
The Securities and Exchange Commission's decision to sue Goldman Sachs for securities fraud was split 3-2 along party lines, according to Bloomberg News. [read post]
18 Jun 2010, 3:29 pm
Goldman Sachs has reportedly asked for more time to respond to the Securities and Exchange Commission's civil charges accusing it of securities fraud. [read post]
20 Jun 2012, 11:45 am
On June 20, 2012, the Securities and Exchange Commission ("SEC") approved a new rule that directs national securities exchanges to adopt listing standards for public company boards of directors and compensation advisers. [read post]
12 Oct 2010, 5:02 am
Public companies and companies registering to go public should be aware of recent fee rate adjustments made by the Securities and Exchange Commission. [read post]
3 Sep 2008, 8:18 pm
The Securities and Exchange Commission and the US Attorney's Office in Brooklyn are charging Eric Butler and Julian Tzolov, two ex-Credit Suisse brokers, with coming up with an auction-rate securities scam to mislead customers and increase their commissions. [read post]
24 Apr 2015, 4:09 pm
On April 14, 2015, in a speech to the North American Securities Administrators Association (“NASAA”), Luis Aguilar, Commissioner to the Securities and Exchange Commission (“SEC”), stated that the SEC is looking closer at sales practices with respect complex securities. [read post]
7 Feb 2018, 5:00 am
Title VII of the Dodd-Frank Act expanded the Exchange Act definition of “security” to include security-based swaps. [read post]
8 May 2024, 7:52 am
Elsewhere, the Second Circuit affirmed the dismissal of Exchange Act claims against Coinbase due to insufficiently pleaded transaction-specific contracts. [read post]
23 Feb 2010, 10:28 pm
Securities and Exchange Commission SEC Toyota’s product defect issues involving accelerator pedal recalls have generated over 60 lawsuits. [read post]
9 Jul 2019, 2:10 pm
The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) (together, the Commissions) have approved a joint proposal to align the minimum margin required on security futures with other similar financial products. [read post]
5 Nov 2018, 3:25 pm
On October 31, the Securities Exchange Commission (“SEC“) issued a statement setting forth its position, for a limited time, that certain actions with respect to specific provisions of its Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants will not provide a basis for SEC enforcement action. [read post]
2 Jun 2022, 7:35 am
Madison Avenue Securities Allegedly Failed to Disclose Conflicts with Compensation According to an SEC order on May 31, the Securities and Exchange Commission ordered Madison Avenue Securities (CRD#: 23224/SEC#: 801-69919,8-40426) to pay more than $800,000 to settle charges that it breached its fiduciary duty with its mutual fund share-class selection practices as well as conflicts with mutual fund compensation, including… [read post]
24 Aug 2023, 5:47 am
Securities trading is highly-automated and dispersed among many trading centers including 24 registered exchanges and a myriad off-exchange venues, the Commission said.As of April 2022, 65 broker-dealers were exchange members, but not FINRA members, and 43 initiated orders that were executed on or off an exchange. [read post]
15 Aug 2009, 12:11 pm
On July 29, the House voted by voice to approve a bill that clears away any confusion regarding the Security and Exchange Commission's authority to go after individuals accused of violating federal securities laws while working for a self-regulatory organization (New York Stock Exchange, Financial Industry Regulatory Authority, etc.) even if they are now employed elsewhere. [read post]
7 Jul 2021, 8:13 am
(“Crown Capital”), a dually-registered investment adviser and broker-dealer based in California, agreed to pay $1.6 million to settle charges brought by the Securities and Exchange Commission (“SEC”) over the firm’s disclosure failures regarding investment advice it gave about mutual funds and cash sweep money market funds. [read post]
31 Oct 2017, 10:23 pm
(“ARCP”), Brian Block, was found guilty of securities fraud and related crimes in connection with reporting false numbers in quarterly filings with the Securities and Exchange Commission (“SEC”). [read post]
26 Mar 2010, 11:24 am
In Securities & Exchange Commission v. [read post]
13 Feb 2017, 1:47 pm
District Court in Baltimore, alleges violations of the Securities Exchange Act and Securities and Exchange Commission ... [read post]
