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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]
14 Dec 2022, 10:11 am
The Securities and Exchange Commission today proposed amendments that would update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks, which are stocks listed on a national securities exchange. [read post]
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]
14 Dec 2022, 6:08 am
The Securities and Exchange Commission today announced charges against eight individuals in a $100 million securities fraud scheme in which they used the social media platforms Twitter and Discord to manipulate exchange-traded stocks. [read post]
10 Oct 2023, 10:33 am
The Securities and Exchange Commission today adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. [read post]
29 Jun 2012, 11:35 am
Securities and Exchange Commission announced the adoption of new rules and amendments to its proxy disclosure rules that would generally prohibit national securities exchanges from listing the equity securities of an issuer that is not in compliance with compensation committee independence requirements. [read post]
13 May 2024, 8:45 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:50 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:41 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
13 May 2024, 8:51 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
19 Apr 2019, 10:39 am
The Securities and Exchange Commission (SEC) is promoting more robust disclosures regarding cybersecurity risks, controls, and incidents for investors, placing increased responsibility on public companies due to the “grave threats” cyber poses on the markets. [read post]
15 Jan 2019, 8:58 am
Securities and Exchange Commission (“SEC”) announced it had adopted final rules to amend certain parts of Regulation A[1] promulgated under 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]
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]
17 Apr 2019, 5:00 am
Despite having settled with the Securities and Exchange Commission last year, the man now faces criminal charges. [read post]
12 Oct 2022, 8:25 am
The Securities and Exchange Commission today voted to adopt amendments to the electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements applicable to broker-dealers, security-based swap dealers (SBSDs),…Read the Full Press ReleaseHave a securities law question? [read post]
