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15 Oct 2013, 3:58 am
Government Shutdown: The SEC Has a Few Days Left? [read post]
18 Jul 2022, 6:29 am
Hiring experienced SEC counsel will greatly increase your chances of the SEC initiating an investigation based on your information. [read post]
18 Dec 2013, 6:18 am
SEC Enforcement in Fiscal Year 2013Market Structure and Exchanges – The SEC brought several significant actions against stock exchanges and other market participants on issues relating to market structure and fair market access. [read post]
2 Dec 2021, 7:03 am
In the introduction to the announcement, the SEC also notes that “the SEC’s whistleblower program was critical to these efforts and had a record-breaking year. [read post]
25 Jan 2013, 4:41 am
Obama Taps a New SEC Chair: Mary Jo White Yesterday, President Obama named Mary Jo White as the new SEC Chair. [read post]
3 Feb 2011, 6:32 am
The SEC is charged with the responsibility of making sure that companies that are raising money tell the whole truth about their finances. [read post]
22 Feb 2022, 11:23 am
If so, the SEC would deny a related-action award. [read post]
13 Aug 2015, 3:56 am
Two years ago, the United States Supreme Court stated in an opinion that the five-year statute of limitations for the SEC to seek civil monetary sanctions began from the date of the fraudulent act, as opposed to when the SEC discovered the fraudulent act. [read post]
16 May 2012, 10:30 am
Over the last year, SEC Enforcement Director Rob Khuzami has made no secret of his disdain for defense counsel who engage in “questionable tactics” to gain advantage for their clients involved in SEC investigations. [read post]
4 Aug 2007, 3:53 am
The SEC identified suspicious overseas trading in the weeks before... [read post]
30 May 2012, 1:02 pm
GAO released a report, Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority (GAO-12-625, May 30, 2012). [read post]
2 Mar 2009, 2:15 pm
The SEC alleges that Sunwest, which operates hundreds of retirement homes across the United States, lied to... [read post]
17 Jun 2012, 6:17 am
Here is the abstract: Since the Depression, the SEC’s totemic... [read post]
11 Jun 2009, 1:02 pm
Today Jill analyzes SEC v Bear Stearns & Co. [read post]
21 Mar 2024, 10:38 am
The post The SEC Finalizes Rule on Required Climate Related Disclosures appeared first on National Agricultural Law Center. [read post]
23 Jun 2021, 6:00 am
Law Students Present Investor Advocacy Ideas to SEC beckygillespie Wed, 06/23/2021 - 08:00 Read more about Law Students Present Investor Advocacy Ideas to SEC By Becky Beaupre Gillespie, Director of Content [read post]
4 Mar 2009, 12:37 pm
The firms agreed to settle the SEC's charges by collectively paying nearly $70 million in disgorgement and penalties. [read post]
10 Mar 2011, 12:58 pm
ProPublica has a good summary: SEC in the Hot Seat,... [read post]
19 Oct 2007, 7:16 am
On Oct 11, the SEC approved FINRA's new proposed Rule 2290 regarding fairness opinions (see the SEC approval here; the FINRA rule release here). [read post]
17 Jun 2019, 9:00 am
Read More › Tags: Digital Advertising, Influencer Marketing, SEC, Social Media [read post]
