Search for: "Securities and Exchange Commission"
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19 Apr 2019, 2:09 pm
A new bill, the Token Taxonomy Act was introduced to congress to amend the Securities Act of 1933 and the Securities Exchange Act of 1934 to exclude digital tokens from the definition of a security, to direct the Securities and Exchange Commission to enact certain regulatory changes regarding digital units secured through public key cryptography, to adjust taxation of virtual currencies held in individual retirement accounts, to… [read post]
29 Aug 2017, 7:13 pm
On 25 August 2017, the Securities and Futures Commission (SFC) and the Hong Kong Police (HKP) signed a memorandum of understanding (MoU) to formalise and strengthen the parties’ co-operation in combating financial crime. [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]
23 Jan 2019, 5:56 am
On December 19, 2018, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation A allowing U.S. and Canadian companies that file reports under Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), to conduct securities offerings using Regulation A. [read post]
24 Feb 2012, 9:52 am
Lisa Gilbert: “The Securities and Exchange Commission (SEC) is getting with the times and is now receptive to Public Citizen’s push to require publicly traded companies to disclose their political spending. [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]
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]
22 Nov 2011, 7:20 pm
The Securities and Exchange Commission (the "Commission") initiated civil proceedings against a former hip-hop promoter who orchestrated a Ponzi scheme that bilked investors out of $5 million. [read post]
31 Jul 2023, 7:47 am
The Securities and Exchange Commission today charged Richard Heart (aka Richard Schueler) and three unincorporated entities that he controls, Hex, PulseChain, and PulseX, with conducting unregistered offerings of crypto asset securities that raised more…Read the Full Press Release Have a securities law question? [read post]
29 May 2018, 12:56 pm
Last fall the Securities and Exchange Commission filed a complaint against Paul Z. [read post]
26 Aug 2022, 1:04 pm
Securities and Exchange Commission (SEC) announced two rule changes to further refine and incentivize whistleblowing through their highly successful whistleblower program. [read post]
18 May 2022, 2:47 pm
[Fifth Circuit panel finds several constitutional problems with the Securities and Exchange Commission] In Jarkesy v. [read post]
14 Sep 2010, 10:53 am
While the exchanges bicker over the cost of implementing real-time market tracking systems (“Charges Bring SEC Hope for New Weapon,” Wall Street Journal, Aug. 30), on-the-ground whistleblowers remain the Securities and Exchange Commission's best "weapon" in both enforcement and deterrence. [read post]
30 Jan 2009, 7:55 am
The Securities and Exchange Commission ("SEC") issued a response earlier this month to a 'no action' request that further supports its view that tenant-in-common ("TIC") interests are securities as opposed to real estate. [read post]
30 Sep 2021, 6:13 am
Securities and Exchange Commission. [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]
25 Feb 2010, 3:36 am
The Securities and Exchange Commission Feb. 24 voted unanimously to issue a statement making clear its commitment to a single set of globally accepted accounting standards. [read post]
17 Jan 2025, 2:15 pm
The Securities and Exchange Commission today announced charges against Joey Miller, Jeff Larson, and Randy Larson, formerly dually registered personnel with Arete Wealth Management LLC, a broker-dealer, and Arete Wealth Advisors LLC, an affiliated…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
19 Sep 2022, 11:05 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 21 at 10 a.m. [read post]
8 Aug 2013, 6:23 am
(“FINRA”) submitted an amendment to its Rule 6750 to the Securities and Exchange Commission (“SEC”). [read post]
