Search for: "In Re Securities and Exchange Commission"
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11 Jun 2018, 6:53 am
The railroad did sell, the two made some good gains, and the Securities and Exchange Commission accused them of insider trading. [read post]
8 Jun 2018, 6:47 am
Securities and Exchange Commission, on Thursday, June 7, 2018 Tags: Banks, Capital requirements, Financial institutions, Financial regulation, Liquidity, Proprietary trading, Securities regulation, Volcker Rule [read post]
7 Jun 2018, 9:30 pm
Securities and Exchange Commission (SEC) Chairman Jay Clayton announced in an exclusive interview with CNBC that initial coin offerings (ICOs)—sales of digital asset tokens from ventures to investors—are securities offerings and will be regulated as securities by the SEC. [read post]
7 Jun 2018, 5:32 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.FINRA Firms & Brokers, Fined & SanctionedMichael Bruce Ralby (CRD #1301072, Boca Raton, Florida) Without admitting or denying the findings, Ralby consented to the sanction and to the entry of findings that he refused to appear for a FINRA on-the-record testimony in connection with its investigation into whether he had… [read post]
6 Jun 2018, 7:55 am
He noted, “My message is we’re better than this. [read post]
4 Jun 2018, 6:00 am
A mentioned two weeks ago that the Securities and Exchange Commission was looking at private fund managers who failed to Form PF. [read post]
31 May 2018, 9:45 pm
Securities and Exchange Commission (SEC) obtained an emergency court order freezing the assets of Titanium Blockchain Infrastructure Services Inc. to halt “ongoing fraud” related to Titanium’s initial cryptocurrency coin offering. [read post]
29 May 2018, 3:00 am
According to this WSJ article, the Committee’s chief counsel, Elad Roisman, may be the choice to fill the slot of departing Commissioner Mike Piwowar: The White House is considering nominating a top aide to the Senate Banking Committee chairman for a GOP opening on the Securities and Exchange Commission, according to people familiar with the matter. [read post]
26 May 2018, 10:10 am
While the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) routinely issue alerts warning investors of new trends in investment fraud scams, it is not often that they highlight the same risks at the same time. [read post]
23 May 2018, 8:11 am
The Securities and Exchange Commission building, located in Washington, D.C.Members of Congress are urging the Securities Exchange Commission (SEC) to investigate the illegal trafficking of wildlife on Facebook. [read post]
18 May 2018, 3:56 am
" In re Innovatio IP Ventures, 2013 WL 5593609, at *9 (N.D. [read post]
17 May 2018, 9:30 pm
” WHAT WE’RE READING THIS WEEK In an article for The Journal of the National Association of Administrative Law Judiciary, Robert R. [read post]
15 May 2018, 7:00 am
Back in 2012, the Securities and Exchange Commission filed suit against Yorkville Advisors for valuation failures. [read post]
10 May 2018, 3:33 pm
Julia Nestor for the United States and I’m here with Andrey Spektor from our office and Valerie Szczepanik from the Securities & Exchange Commission. [read post]
7 May 2018, 10:25 pm
(D.I. 1-1 at ¶¶ 19-20) VCG Securities, LLC ("VCG") was the authorized representative of the Owners in connection with the transaction, and was an affiliate of Odyssey. [read post]
5 May 2018, 7:59 pm
The Commission adopted a legislation to improve data sharing and open up more data for re-use. [read post]
2 May 2018, 11:16 am
Uber surrendered the Chinese market in 2016, selling its UberChina division to Didi in exchange for a 20 percent stake and $1 billion in investment. [read post]
30 Apr 2018, 7:51 am
These include: Transaction structure – each transaction structure requires some difference in representations (i.e. valid issuance in stock purchases and sufficiency of assets in asset deals), Whether the transaction is a public or private deal – public deals usually involve representations about a company’s Securities and Exchange Commission filings and afford buyers some additional comfort stemming from the requirements imposed on public… [read post]
24 Apr 2018, 1:47 pm
It is remarkable that Thomas managed to secure seven votes for his entire opinion. [read post]
24 Apr 2018, 3:00 am
” The Martin Act, a 1921 New York securities law that predates the creation of the federal Securities and Exchange Commission, grants sweeping powers exceeding even those of Washington. [read post]
