Search for: "Securities and Exchange Commission"
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23 Mar 2024, 6:30 am
Securities and Exchange Commission. [read post]
11 Apr 2019, 6:33 am
In my recently published book, The Securities and Exchange Commission v. [read post]
31 Aug 2017, 1:19 pm
A review of the Securities and Exchange Commission’s records reveals that the SEC is pursuing claims related to four oil and gas scams in the last two months alone. [read post]
20 Aug 2010, 4:43 am
A recent Securities and Exchange Commission filing by the chief executive of China Fire & Security Group Inc. [read post]
1 Oct 2013, 8:10 pm
On October 1, the Securities and Exchange Commission announced that it had paid the highest award ever, to an anonymous informant. [read post]
1 Aug 2023, 9:16 am
The Securities and Exchange Commission today charged Samuel Masucci and entities he founded and controls with disadvantaging an exchange traded fund (ETF) they managed and misleading the ETF’s trustees to obtain $20 million in rescue financing to avoid a…Read the Full Press Release Have a securities law question? [read post]
23 Oct 2023, 10:23 am
On October 10, 2023, the Securities and Exchange Commission approved amendments to the Regulation 13D-G reporting regime for persons who beneficially own more than 5% of a class of securities (“5% Owners”) that is registered under Section 12 of the Securities and Exchange Act of 1934, as amended. [read post]
28 Apr 2009, 6:52 pm
We are rapidly approaching the seventy-fifth anniversary of the creation of Securities and Exchange Commission. [read post]
1 Oct 2024, 10:00 pm
Recent actions by the US Securities and Exchange Commission’s (SEC’s) Division of Enforcement highlight the importance of making timely filings pursuant to Sections 13(d), 16, and 13(f) of the Securities Exchange Act of 1934. [read post]
1 Oct 2024, 10:00 pm
Recent actions by the US Securities and Exchange Commission’s (SEC’s) Division of Enforcement highlight the importance of making timely filings pursuant to Sections 13(d), 16, and 13(f) of the Securities Exchange Act of 1934. [read post]
1 Oct 2024, 10:00 pm
Recent actions by the US Securities and Exchange Commission’s (SEC’s) Division of Enforcement highlight the importance of making timely filings pursuant to Sections 13(d), 16, and 13(f) of the Securities Exchange Act of 1934. [read post]
1 Oct 2024, 10:00 pm
Recent actions by the US Securities and Exchange Commission’s (SEC’s) Division of Enforcement highlight the importance of making timely filings pursuant to Sections 13(d), 16, and 13(f) of the Securities Exchange Act of 1934. [read post]
1 Oct 2024, 10:00 pm
Recent actions by the US Securities and Exchange Commission’s (SEC’s) Division of Enforcement highlight the importance of making timely filings pursuant to Sections 13(d), 16, and 13(f) of the Securities Exchange Act of 1934. [read post]
1 Oct 2024, 10:00 pm
Recent actions by the US Securities and Exchange Commission’s (SEC’s) Division of Enforcement highlight the importance of making timely filings pursuant to Sections 13(d), 16, and 13(f) of the Securities Exchange Act of 1934. [read post]
2 Nov 2022, 8:21 am
The Securities and Exchange Commission today adopted amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds, and certain other registered funds report about their proxy votes. [read post]
4 Jun 2012, 5:25 am
The Securities and Exchange Commission has approved two proposals submitted by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) that are designed to address extraordinary volatility in individual securities and the broader U.S. stock market.Additional Materials... [read post]
26 Oct 2022, 8:56 am
The Securities and Exchange Commission voted today to adopt rule and form amendments to require mutual funds and exchange-traded funds to transmit concise and visually engaging shareholder reports and to promote transparent and balanced presentations of…Read the Full Press ReleaseHave a securities law question? [read post]
6 Apr 2011, 11:28 am
The United States Securities and Exchange Commission announced that Wells Fargo Securities LLC consented to an $11.2 million fine in connection with the sale of collateralized debt obligations (CDOs) in late 2006 and early 2007. [read post]
29 May 2018, 12:56 pm
Last fall the Securities and Exchange Commission filed a complaint against Paul Z. [read post]
1 Oct 2019, 11:20 am
On August 20, 2019, the Securities and Exchange Commission (“SEC”) charged Mosaic Capital, LLC, formerly known as AOC Securities, LLC (“AOC”), and its CEO with failing to adequately supervise an employee who engaged in securities fraud. [read post]
