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25 Nov 2019, 2:01 pm
On Friday, November 15, 2019 The Securities and Exchange Commission (SEC) announced that a whistleblower award of more than $260,000 had been given to three people who jointly alerted the agency to a “well-concealed fraud targeting retail investors. [read post]
9 Feb 2022, 11:27 am
Ex-Landolt Securities Broker Ran Now-Defunct Retirement Planning Institute Anthony Matthew Cottone, an ex-Landolt Securities stockbroker, has been charged by the US Securities and Exchange Commission (SEC) with fraudulently running Secured Capital Strategies Fund. [read post]
10 Jun 2022, 6:34 am
Securities and Exchange Commission. [read post]
10 Jun 2022, 6:34 am
Securities and Exchange Commission. [read post]
12 Sep 2022, 3:29 am
The Securities and Exchange Commission has made it clear that one of its primary points of interest with private funds is fees and expenses. [read post]
4 Mar 2020, 12:16 pm
The case involves the scope of relief in enforcement actions that the Securities and Exchange Commission brings in federal court (as opposed to its internal administrative proceedings). [read post]
22 Feb 2010, 9:23 am
Securities and Exchange Commission - Merrill Lynch - Financial Services [read post]
26 Dec 2023, 9:59 am
The FCC’s action follows on the heels of the Securities and Exchange Commission final rule requiring businesses to report cyberattacks to the agency within four days of determining the scope of compromise and the Federal Trade Commission’s recent updates to its breach reporting rules. [read post]
16 May 2017, 6:21 am
Securities and Exchange Commission. [read post]
21 Feb 2020, 8:27 am
Securities and Exchange Commission (SEC) warned of fraudulent scams involving ICOs; and, while many of these offerings were legitimate (and legitimate ICOs remain on the market today), many investors were forced to hire investment fraud attorneys to help them recover their losses. [read post]
18 Nov 2024, 6:30 am
Securities and Exchange Commission (“SEC”) has intensified its focus on beneficial ownership reporting under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934 (“Exchange Act”), as well as seemingly starting to focus on enforcement of reporting obligations under Sections 13(f) and 13(h) of the Exchange Act. [read post]
18 Nov 2024, 6:30 am
Securities and Exchange Commission (“SEC”) has intensified its focus on beneficial ownership reporting under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934 (“Exchange Act”), as well as seemingly starting to focus on enforcement of reporting obligations under Sections 13(f) and 13(h) of the Exchange Act. [read post]
14 Sep 2022, 8:30 am
The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. [read post]
21 Jul 2023, 8:00 am
The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association (NASAA) and Wisconsin Department of Financial Institutions (DFI) for a Joint Public Roundtable at the DFI headquarters on…Read the Full Press Release Have a securities law question? [read post]
29 Sep 2023, 12:03 pm
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market…Read the Full Press Release Have a securities law question? [read post]
25 Apr 2022, 12:05 pm
The Securities and Exchange Commission will hold a virtual event on April 28 along with the North American Securities Administrators Association (NASAA) and the AARP to examine the latest challenges and issues affecting the senior investor community. [read post]
15 Mar 2023, 10:25 am
The Securities and Exchange Commission today proposed amendments to expand and update Regulation Systems Compliance and Integrity (SCI), the set of rules adopted in 2014 to help address technological vulnerabilities in the U.S. securities markets and…Read the Full Press ReleaseHave a securities law question? [read post]
1 Jul 2024, 7:05 am
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for both in-person and virtual attendance of their Compliance Outreach…Read the Full Press Release Have a securities law question? [read post]
15 Nov 2016, 5:36 pm
Securities and Exchange Commission. [read post]
6 Sep 2012, 5:39 am
Securities and Exchange Commission. [read post]
