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15 Dec 2014, 1:17 pm
” would be inconsistent with the law and, by the authors’ own admission, inconsistent with the current policy and practice of the staff of the Securities and Exchange Commission. [read post]
21 Nov 2018, 9:21 am
On November 16, 2018, the Securities and Exchange Commission (“SEC”) issued a statement on the application of federal securities laws to the issuance and trading of, and investment in, digital asset securities. [read post]
21 Sep 2009, 7:29 pm
Last week, the Securities and Exchange Commission Enforcement Division took the unusual step of re-opening an investigation of financial reporting irregularities at Overstock.com (NASDAQ: OSTK) after dropping a previous investigation just fifteen months earlier in June 2008. [read post]
14 Nov 2023, 4:30 pm
Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. [read post]
12 Oct 2010, 5:02 am
Public companies and companies registering to go public should be aware of recent fee rate adjustments made by the Securities and Exchange Commission. [read post]
22 Nov 2022, 7:46 am
On 21 November 2022, the European Securities and Markets Authority (ESMA) published its annual report 2022 on the application of waivers and deferrals. [read post]
10 Jan 2024, 9:02 pm
Yesterday afternoon, the Commission approved a series of rule changes that will allow for the listing and trading of the 11 bitcoin ETFs that were the subject of applications by national securities exchanges — specifically, NYSE Arca, Nasdaq, and Cboe BZX Exchange. [read post]
26 Aug 2011, 10:23 am
Staff of the Ontario Securities Commission today released a notice setting out their views on the application of prospectus requirements and product regulation in connection with cross-listings by foreign exchange-traded mutual funds. [read post]
30 Nov 2020, 2:20 pm
On November 19, 2020, Peter Driscoll, director of the Office of Compliance Inspection and Examination (“OCIE”) of the Securities and Exchange Commission (“SEC”), gave a speech urging advisory firms to empower their Chief Compliance Officers (“CCOs”). [read post]
20 Dec 2011, 11:49 am
In a letter to the SEC, the US Chamber of Commerce said there is no basis for the Commission to recommend congressional action to alter the US Supreme Court’s ruling in Morrison setting a transactional test for the extraterritorial application of the federal securities laws. [read post]
7 Apr 2011, 6:00 am
Securities and Exchange Commission (SEC) approved a revised Discovery Guide applicable to FINRA securities arbitration customer cases on Friday. [read post]
4 Aug 2017, 9:08 am
In a 1946 Supreme Court case Securities and Exchange Commission v. [read post]
26 Oct 2016, 7:51 am
On October 18, 2016, the Securities and Exchange Commission (“SEC”) issued cease-and-desist proceedings pursuant to Section 8A of the Securities Act of 1933 (“Securities Act”), Sections 15(b), and 21C of the Securities Exchange Act of 1934 (“Exchange Act”), Section 203(f) of the Investment Advisors Act of 1940 (“Advisors Act”), and Section 9(b) of the Investment Company Act of 1940… [read post]
13 Oct 2021, 4:00 am
Securities and Exchange Commission when going public.Special thanks to our sponsors, Alert Communications and Smokeball. [read post]
6 Mar 2011, 2:57 pm
In a letter to the SEC and CFTC, the Securities Industry and Financial Markets Association urged the Commissions to carefully consider comity and the extraterritorial application of the derivatives provisions in Title VII of Dodd-Frank when adopting swap dealer regulations for a global marketplace. [read post]
6 Jan 2009, 6:17 am
The Securities and Exchange Commission approved requiring public companies to release interactive versions of their financial data. [read post]
17 Apr 2024, 7:35 am
The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. [read post]
23 Jan 2023, 9:03 am
The Securities and Exchange Commission today announced that, starting on February 27, 2023, the fee rates applicable to most securities transactions will be set at $8.00 per million dollars. [read post]
18 Nov 2021, 1:35 pm
The Securities and Exchange Commission today published proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap…Read the Full Press ReleaseHave a securities law question? [read post]
14 Dec 2017, 10:12 am
The European Commission has adopted Implementing Decisions on the equivalence of the legal and supervisory frameworks in the following three countries, in accordance with Article 25(4)(a) of MiFID II: Commission Implementing Decision of XXX on the equivalence of the legal and supervisory framework in Australia applicable to financial markets in accordance with MiFID II; Commission Implementing Decision of XXX on the equivalence of the legal and supervisory… [read post]
