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26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
8 Dec 2022, 10:00 pm
The guidance includes a “sample” crypto-specific comment letter focused on disclosure that public companies should consider providing in filings made under the Securities Act of 1933 (Securities Act) and Securities Exchange Act of 1934 (Exchange Act), as applicable. [read post]
8 Dec 2022, 10:00 pm
The guidance includes a “sample” crypto-specific comment letter focused on disclosure that public companies should consider providing in filings made under the Securities Act of 1933 (Securities Act) and Securities Exchange Act of 1934 (Exchange Act), as applicable. [read post]
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
8 Dec 2022, 10:00 pm
The guidance includes a “sample” crypto-specific comment letter focused on disclosure that public companies should consider providing in filings made under the Securities Act of 1933 (Securities Act) and Securities Exchange Act of 1934 (Exchange Act), as applicable. [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]
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]
23 Jun 2018, 8:49 am
Securities and Exchange Commission. [read post]
12 Oct 2009, 4:01 am
Securities and Exchange Commission â [read post]
6 Aug 2022, 6:30 am
On June 23, 2022, the Securities and Exchange Commission (SEC) adopted certain amendments to Form 13F (the Adopting Release) that will become effective at the beginning of 2023. [read post]
6 Aug 2022, 6:30 am
On June 23, 2022, the Securities and Exchange Commission (SEC) adopted certain amendments to Form 13F (the Adopting Release) that will become effective at the beginning of 2023. [read post]
29 Sep 2009, 8:05 pm
The Securities and Exchange Commission is charging trader Reza Saleh with Texas securities fraud. [read post]
13 Apr 2011, 1:43 pm
The Securities and Exchange Commission today charged a former hedge fund portfolio manager with insider trading in a bio-pharmaceutical company based on confidential information about negative results of the company’s clinical drug trial. [read post]
9 Jan 2020, 6:28 am
Securities and Exchange Commission. [read post]
23 Jan 2023, 7:01 am
The Securities and Exchange Commission today announced settled charges against Bloomberg Finance L.P. [read post]
29 Jun 2023, 8:10 am
The Securities and Exchange Commission today filed insider trading charges against Bruce Garelick, a former board member of Digital World Acquisition Corporation (DWAC), a special purpose acquisition company (SPAC); Michael Shvartsman and his firm Rocket…Read the Full Press Release Have a securities law question? [read post]
10 May 2024, 11:10 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
28 Sep 2022, 2:45 pm
The Securities and Exchange Commission today announced charges against The Hydrogen Technology Corporation, its former CEO, Michael Ross Kane, and Tyler Ostern, the CEO of Moonwalkers Trading Limited, a self-described “market making” firm, for their…Read the Full Press ReleaseHave a securities law question? [read post]
22 Mar 2023, 12:45 pm
The Securities and Exchange Commission today announced charges against crypto asset entrepreneur Justin Sun and three of his wholly-owned companies, Tron Foundation Limited, BitTorrent Foundation Ltd., and Rainberry Inc. [read post]
12 Sep 2024, 9:02 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Sept. 19, 2024, at 10 a.m. [read post]
