Search for: "In Re Securities and Exchange Commission"
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26 Jan 2018, 8:58 am
Case In PointOn October 16, 2017, the United States Securities and Exchange Commission filed an Order Instituting Administrative Proceedings and Notice of Hearing (“OIP”) a... [read post]
26 Jan 2018, 6:32 am
Securities and Exchange Commission, on Wednesday, January 24, 2018 Tags: Boards of Directors, Corporate forms, Engagement, SEC, Securities regulation, Shareholder voting Bebchuk Leads SSRN’s 2017 Citation Rankings Posted by Matt Filosa, Co-editor, Harvard Law School Program on Corporate Governance, on Wednesday, January 24, 2018 Tags: Lucian Bebchuk, Program on Corporate… [read post]
26 Jan 2018, 5:50 am
The sanctions were based on findings that Vungarala willfully violated Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and FINRA Rules 2020 and 2010 by making materially false and misleading statements to conceal his commissions on investments made by a Native American tribe he was employed by to manage its investment portfolio. [read post]
26 Jan 2018, 4:52 am
In an unprecedented move, the Duterte administration’s Security and Exchange Commission (SEC) revoked the registration of independent news organization, Rappler, and ordered them to close up shop. [read post]
25 Jan 2018, 9:30 pm
Securities and Exchange Commission (SEC) announced that it had charged six accountants—including former employees of the Public Company Accounting Oversight Board (PCAOB)—over a scheme to “misappropriate and use confidential information” that PCAOB was planning to audit accounting firm KPMG. [read post]
22 Jan 2018, 4:18 pm
”[11] Analysis The Goldman Sachs case—along with Barclays and In re Petrobras Securities[12]—is one of three recent 23(f) petitions granted and decided by the Second Circuit concerning the fraud-on-the-market presumption of reliance. [read post]
20 Jan 2018, 12:00 am
” Helping you keep your legal ducks in a row and your nest egg secure with your host Victor Medina, an estate planning and elder law attorney and certified financial planner. [read post]
18 Jan 2018, 9:30 am
U.S. regulators (the Commodity Futures Trading Commission “CFTC,” and the Securities and Exchange Commission “SEC”) have generally classified bitcoin and other cryptographic assets as commodities. [read post]
18 Jan 2018, 6:45 am
By Jay Fishman, J.D.The Department of Banking and Securities has amended its securities rules in their entirety, primarily to non-substantively re-write the rules in more plain English for better clarity, to replace outdated references to "Commission" and "NASD" with "Department" and "FINRA," respectively, and to repeal a number of outdated rules. [read post]
17 Jan 2018, 9:04 am
As we have discussed in previous blog posts, on December 21, 2017, the Securities and Exchange Commission (“SEC”) formally announced charges against the Woodbridge Group of Companies (“Woodbridge”) of Sherman Oaks, CA, as well as Woodbridge’s related unregistered investment funds and the firm’s owner and former CEO, Robert Shapiro. [read post]
12 Jan 2018, 11:50 am
Magistrate Judge in the Southern District of Florida held that providing “oral downloads” of otherwise-privileged witness interview notes and memoranda to the Securities and Exchange Commission effectively waived privilege. [read post]
11 Jan 2018, 9:30 pm
Securities and Exchange Commission (SEC) temporarily suspended trading of UBI Blockchain Internet, a Chinese company that provides blockchain services. [read post]
11 Jan 2018, 6:39 am
On December 22, 2017, the Securities and Exchange Commission’s Division of Corporation Finance released Form 8-K Compliance and Disclosure Interpretation 110.02 and its Office of the Chief Accountant published Staff Accounting Bulletin No. 118, which provide guidance on reporting accounting impacts of the recently enacted tax reform legislation. [read post]
10 Jan 2018, 2:17 pm
Securities and Exchange Commission, 17-130, and Securities and Exchange Commission v. [read post]
8 Jan 2018, 2:38 pm
Securities & Exchange Commission (“SEC”) constituted claims for purposes of an excess policy’s prior and pending claims exclusion. [read post]
5 Jan 2018, 5:35 am
Its March 4, 2016 Securities and Exchange Commission 8-K on Data Security Incident (Breach 8-K) states 21CO delayed notification at the request of the FBI to avoid interfering in the criminal investigation of the breach. [read post]
5 Jan 2018, 3:56 am
Also at the same time, the company is becoming public – to use the proper securities law terminology, its common stock is being registered under the Securities Exchange Act of 1934 – meaning that holders of shares that aren’t restricted in some way can freely sell them in the future at prevailing market prices or hold onto them, at their option. [read post]
4 Jan 2018, 10:59 am
The hotly-debated EU e-Privacy Regulation, when finalized, also will require companies to re-evaluate their practices for cookies, direct marketing, and other online marketing practices. [read post]
4 Jan 2018, 7:11 am
According to Van Valkenburgh, Coin Center will be focusing its energies on largely on state money transmission licensing issues, as well as the ongoing role of the Securities and Exchange Commission in the year ahead.With regard to money transmitters, Coin Center will be continuing to work with states to help them rationalize legal requirements for these business that are involved with exchanging dollars for Bitcoins and other cryptocurrencies. [read post]
2 Jan 2018, 3:12 am
SEC, about a topic far removed from (and less heated than) abortion rights—namely, whether the Administrative Law Judges (ALJs) who work in the Securities and Exchange Commission (SEC) are hired in a manner that violates the Appointments Clause of the Constitution, Art. [read post]
