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14 Dec 2022, 9:09 am
The Securities and Exchange Commission today adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 and new disclosure requirements to enhance investor protections against insider trading. [read post]
15 Sep 2015, 9:02 am
In what will surely not be the last word on this continuing controversy, on September 3, 2015, a majority of the members of the Securities and Exchange Commission held that the appointment process for the Commission’s administrative law judges (“ALJ”) does not violate the Constitution. [read post]
16 Apr 2010, 12:02 pm
The Securities and Exchange Commission filed a complaint today against Goldman Sachs & Co. for “making materially misleading statements and omissions in connection with a synthetic collateralized debt obligation (“CDO”) [it] structured and marketed to investors. [read post]
31 Jul 2012, 9:12 am
From Bill Singer: After some two-years of preparation, the Securities and Exchange Commission has just published a dramatic report on the municipal securities markets that all serious investors should read. [read post]
4 Aug 2011, 10:40 am
On July 27, 2011, the Staff of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations published a report entitled “Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors. [read post]
24 May 2023, 11:54 am
[The Securities & Exchange Commission again delays issuing a controversial anticipated rule.] [read post]
23 Dec 2011, 10:22 am
The Securities and Exchange Commission on Friday charged GE Funding Capital Market Services, a unit of General Electric Co., with securities fraud, in a case that resulted in two settlements totaling about $70 million. [read post]
9 Nov 2020, 10:00 pm
The Securities and Exchange Commission (SEC) on August 26 adopted amendments (Amendments) to the “accredited investor” definition , which is one of the principal tests for determining who is eligible to participate in certain private securities offerings and if an issuance of securities is exempt from registration under Regulation D of the Securities Act of 1933 (Securities Act). [read post]
9 Nov 2020, 10:00 pm
The Securities and Exchange Commission (SEC) on August 26 adopted amendments (Amendments) to the “accredited investor” definition , which is one of the principal tests for determining who is eligible to participate in certain private securities offerings and if an issuance of securities is exempt from registration under Regulation D of the Securities Act of 1933 (Securities Act). [read post]
9 Nov 2020, 10:00 pm
The Securities and Exchange Commission (SEC) on August 26 adopted amendments (Amendments) to the “accredited investor” definition , which is one of the principal tests for determining who is eligible to participate in certain private securities offerings and if an issuance of securities is exempt from registration under Regulation D of the Securities Act of 1933 (Securities Act). [read post]
9 Nov 2020, 10:00 pm
The Securities and Exchange Commission (SEC) on August 26 adopted amendments (Amendments) to the “accredited investor” definition , which is one of the principal tests for determining who is eligible to participate in certain private securities offerings and if an issuance of securities is exempt from registration under Regulation D of the Securities Act of 1933 (Securities Act). [read post]
9 Nov 2020, 10:00 pm
The Securities and Exchange Commission (SEC) on August 26 adopted amendments (Amendments) to the “accredited investor” definition , which is one of the principal tests for determining who is eligible to participate in certain private securities offerings and if an issuance of securities is exempt from registration under Regulation D of the Securities Act of 1933 (Securities Act). [read post]
9 Nov 2020, 10:00 pm
The Securities and Exchange Commission (SEC) on August 26 adopted amendments (Amendments) to the “accredited investor” definition , which is one of the principal tests for determining who is eligible to participate in certain private securities offerings and if an issuance of securities is exempt from registration under Regulation D of the Securities Act of 1933 (Securities Act). [read post]
19 Mar 2024, 12:49 pm
The Securities and Exchange Commission announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injunction to settle charges that it engaged in the unregistered offer and sale of securities through a crypto asset lending program known as the Gemini Earn program. [read post]
16 Dec 2024, 7:20 am
On December 4, President-elect Trump announced that his pick for the next Securities and Exchange Commission (SEC) chair would be Paul Atkins. [read post]
1 Mar 2017, 11:24 am
The information required by the Securities and Exchange Commission requires that it be accurate but not guaranteed. [read post]
30 Oct 2020, 8:38 am
According to the Commission, the conditions are intended to: (1) protect money, securities, and property of security-based swap customers; (2) address certain differences in the statutory requirements of the Exchange Act and the CEA; and (3) promote appropriate risk management and disclosure.After the 2012 order, the SEC has monitored the BD/FCMs participating in the portfolio margining program and the overall market for cleared credit default swaps. [read post]
11 Jun 2012, 3:23 pm
On June 11, 2012, the Securities and Exchange Commission issued a policy statement describing the phase in of final rules regulating security-based swaps and security-based swap market participants. [read post]
27 Sep 2008, 5:21 am
Securities and Exchange Commission [Release Nos. 33-8962; 34-58657; File No. 4-567] Roundtable on Modernizing the SEC â [read post]
13 Jan 2025, 1:25 pm
The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined civil penalties to settle a range of SEC charges arising…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
