Search for: "In Re Securities and Exchange Commission"
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26 Jul 2018, 4:00 am
Periodically on Thursdays, we present a significant excerpt, usually from a recently published book or journal article. [read post]
26 Jul 2018, 3:00 am
The Treasury Department’s Office of Foreign Asset Control issued guidance the same day detailing the process for re-imposing the sanctions. [read post]
19 Jul 2018, 9:30 pm
Securities and Exchange Commission’s (SEC) traditional regulatory framework to ICOs because not all digital currencies are definitively classified as securities. [read post]
13 Jul 2018, 1:36 pm
” And he expresses grave concern about “the questionable effectiveness and accountability of some of the numerous independent regulatory agencies,” referring to agencies (like the Federal Elections Commission, the Federal Communications Commission and the Securities and Exchange Commission) run by individuals appointed by the president but only removable “for cause. [read post]
12 Jul 2018, 9:30 pm
Securities and Exchange Commission (SEC), which held that the SEC’s ALJs must be appointed by the President or the head of a department. [read post]
10 Jul 2018, 5:17 pm
Developments in the past year involving cryptocurrencies have led the Securities and Exchange Commission (“SEC”) to increasingly monitor and regulate ICOs and digital currency trading. [read post]
5 Jul 2018, 9:30 pm
Securities and Exchange Commission (SEC) brings more enforcement actions against non-U.S. companies. [read post]
4 Jul 2018, 12:05 pm
Securities and Exchange Commission may be whether and to what extent the SEC (and even perhaps other agencies) will continue to use administrative processes to pursue enforcement action. [read post]
2 Jul 2018, 7:41 am
Seven years ago the Securities and Exchange Commission opened its Office of the Whistleblower under the authorization of the Dodd-Frank Act. [read post]
2 Jul 2018, 5:25 am
The reason: as long as there are investors willing to believe that they can effectively get something for nothing, there will be swindlers out there eager to take their money.In a recent Securities and Exchange Commission complaint, the SEC alleged that insurance broker James E. [read post]
27 Jun 2018, 6:05 am
Securities and Exchange Commission, it’s clear that administrative law judges of the US Securities and Exchange Commission are not mere federal employees but qualify as “Officers of the United States” under the Appointments Clause of the US Constitution. [read post]
23 Jun 2018, 8:42 am
The Securities Exchange Commission (SEC) has been granting a record number of awards to whistleblowers alerting the authorities to securities fraud. [read post]
22 Jun 2018, 2:31 pm
The Securities and Exchange Commission finds that Merrill Lynch “willfully violated” Sections 17(a)(2) and 17(a)(3) of the Securities Act. [read post]
22 Jun 2018, 2:31 pm
The Securities and Exchange Commission finds that Merrill Lynch “willfully violated” Sections 17(a)(2) and 17(a)(3) of the Securities Act. [read post]
21 Jun 2018, 9:30 pm
Supreme Court ruled 7-2 that the Securities and Exchange Commission’s (SEC) administrative law judges (ALJs) are not “simply employees of the Federal Government” and must therefore be appointed by the agencies’ commissioners. [read post]
21 Jun 2018, 12:32 pm
Securities and Exchange Commission, which questioned the constitutionality of the SEC’s ALJs. [read post]
21 Jun 2018, 9:33 am
Today, the United States Supreme Court sent shock waves through the securities industry as well as the United States Securities and Exchange Commission’s (“SEC”) enforcement program when it held that SEC administrative law judges (“ALJ”) are “inferior officers,” and must be chosen pursuant to the appointments clause of the United States Constitution. [read post]
21 Jun 2018, 8:26 am
Securities and Exchange Commission. [read post]
21 Jun 2018, 6:55 am
Instead of directly paying the individual his share of the commissions, Lott paid the individual’s wife, in an effort to conceal his activity. [read post]
20 Jun 2018, 9:30 pm
Securities and Exchange Commission—the agency charged with regulating financial services—to modify the criteria for independent review and make exceptions for certain firms. [read post]
