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7 Sep 2023, 2:35 pm
The Securities and Exchange Commission today announced settled charges against Linus Financial, Inc. for failing to register the offers and sales of its retail crypto lending product, the Linus Interest Accounts. [read post]
18 Dec 2019, 9:01 am
The Securities and Exchange Commission today adopted a package of rule amendments, guidance, and a related order to expand and improve the framework for regulating cross-border security-based swaps, including single-name credit default swaps. [read post]
28 Nov 2022, 3:50 am
United States Securities and Exchange Commission, Defendant (Complaint, SDNY)... [read post]
18 Dec 2019, 8:01 am
The Securities and Exchange Commission today voted to adopt rules requiring the application of risk mitigation techniques to portfolios of uncleared security-based swaps. [read post]
30 Jan 2023, 12:57 pm
The Securities and Exchange Commission today proposed amendments to its ethics rules to strengthen and modernize its ethics compliance program. [read post]
26 Aug 2024, 11:01 am
The Securities and Exchange Commission today filed settled charges against Plutus Lending LLC, which does business as Abra, for failing to register the offers and sales of its retail crypto asset lending product, Abra Earn. [read post]
7 Aug 2012, 9:56 pm
Mizuho Securities USA and three of its former employees were recently charged by the Securities and Exchange Commission with misleading investors in a CDO through the use of “dummy assets” which inflated the credit ratings of the deal. [read post]
7 Aug 2012, 9:56 pm
Mizuho Securities USA and three of its former employees were recently charged by the Securities and Exchange Commission with misleading investors in a CDO through the use of “dummy assets” which inflated the credit ratings of the deal. [read post]
7 Aug 2012, 9:56 pm
Mizuho Securities USA and three of its former employees were recently charged by the Securities and Exchange Commission with misleading investors in a CDO through the use of “dummy assets” which inflated the credit ratings of the deal. [read post]
9 Aug 2013, 5:00 am
At the core of that interest is a look at whether the Securities and Exchange Commission has jurisdiction. [read post]
25 Feb 2022, 8:15 am
The Securities and Exchange Commission today announced that it has voted to propose changes that would provide greater transparency to investors and regulators by increasing the public availability of short sale related data. [read post]
22 Feb 2022, 1:35 pm
The Securities and Exchange Commission today announced settled charges and an $18 million penalty against Baxter International Inc. for engaging in improper intra-company foreign exchange transactions that resulted in the misstatement of the company’s…Read the Full Press ReleaseHave a securities law question? [read post]
10 Feb 2022, 10:05 am
The Securities and Exchange Commission today announced that it proposed rule amendments governing beneficial ownership reporting under Exchange Act Sections 13(d) and 13(g). [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]
13 Sep 2020, 11:07 am
BC Exchange Suniland DST, Securities Investigation Are you concerned about your investment in BC Exchange Suniland DST? [read post]
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]
4 Mar 2020, 1:37 pm
In what proposes to be a big change in private placements, the Securities and Exchange Commission issued a set of proposed amendments that “provide a more rational framework, eliminate complexity and increase access to capital while preserving and enhancing important investor protections. [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]
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]
30 Jun 2020, 11:20 am
Court of Appeals for the District of Columbia Circuit held that the Securities and Exchange Commission (“SEC”) lacks the authority to administer a two-year pilot program designed to review the fees and rebate structure used by U.S. stock exchanges. [read post]
